Individual Firm
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THERESA L MCMASTERS
CRD#: 4015437
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 309 S.E. OSCEOLA STREET
SUITE 300
STUART, FL 34994
SUITE 300
STUART, FL 34994
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5/5/2022
Financial
Pending
2/8/2022
Financial
Pending
11/4/2021
Financial
Pending
6/8/2021
Financial
Pending
11/19/2020
Financial
Pending
10/17/2020
Financial
Pending
8/27/2020
Financial
Pending
5/12/2020
Financial
Pending
3/19/2020
Financial
Pending
1/30/2020
Financial
Pending
9/13/2019
Financial
Pending
3/22/2019
Financial
Final
3/7/2019
Financial
Final
3/4/2019
Financial
Final
2/28/2019
Financial
Final
2/27/2019
Financial
Final
State Registrations
B
Florida 3/20/2017
IA
Florida 3/20/2017
SRO Registrations
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/20/2017
B
Registered with this firm since 2/28/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/07/2007 - 02/08/2017 | ALPHARETTA, GA | |
B | 09/07/2007 - 02/08/2017 | ALPHARETTA, GA | |
IA | 09/10/2002 - 09/18/2007 | STUART, FL | |
B | 08/03/2000 - 09/18/2007 | STUART, FL |
ALPHARETTA, GA
09/07/2007 - 02/08/2017
ALPHARETTA, GA
09/07/2007 - 02/08/2017
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.