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Lynn Pounds Pippenger

Other Names: Lynn L Pippenger
Firm:
Raymond James & Associates, Inc.
Sr Vice President/Secretary
Type: Not Actively Registered
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Description

Lynn Pippenger has an ownership stake of Raymond James & Associates, Inc., a broker-dealer with over 3,550 registered representatives nationwide. Lynn has held an industry securities registration for 26 years.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Lynn Pounds Pippenger has not answered any questions on Financial Q&A.

Top Guides

Lynn Pounds Pippenger has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Raymond James & Associates, Inc. 9 years, 5 months Jan 2004 - Present
Raymond James & Associates, Inc. 44 years, 4 months Mar 1969 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Not registered
Disclosures

1 Regulatory Event
As of Date
06/05/2008
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Registered Options Principal Examination Series 4 12/13/1979
Uniform Securities Agent State Law Examination Series 63 10/25/1979
NYSE Allied Member Examination Series 41 03/06/1979
Financial Principal Examination F04 03/20/1974
Registered Principal Examination Series 40 02/24/1972

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions