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 |
|---|---|---|---|---|---|---|---|---|
| Byron Lamont Pollock | 4706400 | 1 | 07/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Carpenter | 6921921 | 1 | 07/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roland Martin | 6085052 | 1 | 07/10/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Grant Albert Lowery | 5470890 | 2 | 07/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Laurence Theriault | 5106542 | 1 | 06/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Troy Wallace Vandenbosch | 4575381 | 1 | 06/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tia Ann Kurina-Cooley | 7008101 | 1 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Gary Bloom | 4540022 | 7 | 04/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jill Kathleen Arbogast | 4591435 | 3 | 03/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |