Billy J. Sipes
Professional summary
Billy Joe Sipes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Billy is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Billy had worked at 3 firms, which includes MORGAN KEEGAN & COMPANY LLC, RAYMOND JAMES FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2003 - May 11, 2005
MORGAN KEEGAN & COMPANY, LLC
October 27, 2003 - May 11, 2005
MORGAN KEEGAN & COMPANY, LLC
June 11, 2002 - October 28, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 11, 1992 - October 28, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 1990 - June 11, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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