Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Beau Victor Gaudreau | 5052163 | 1 | 07/05/2023 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Lewis Gene Wentz | 2865313 | 4 | 06/03/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dale Lawrence Bradley | 1999537 | 1 | 05/28/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| King Sutton Cavalier | 5879713 | 2 | 02/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Heaton Alders | 7722055 | 1 | 11/01/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anna Louise Shea | 6291184 | 1 | 07/17/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kelly Dean Webb | 3218513 | 1 | 01/10/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heather Nicole Overstreet | 7188673 | 1 | 11/20/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dylan Jay Brinkmann | 6591793 | 1 | 08/28/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wesley Phllips Springfield | 4962822 | 1 | 01/13/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |