Carl M. Drury
Professional summary
Carl Morris Drury III was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carl Morris Drury III, who also goes by Carl Morris Drury, Chip Morris Drury, was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1995. Carl had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2003 - August 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 2003 - August 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 2000 - April 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 24, 2000 - April 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 14, 1999 - July 24, 2000
J.C. BRADFORD & CO.
December 16, 1998 - January 7, 1999
J.C. BRADFORD & CO.
February 7, 1995 - December 23, 1998
THE ROBINSON-HUMPHREY COMPANY, LLC
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
