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 |
|---|---|---|---|---|---|---|---|---|
| Kathryn Jo Garvin | 5229786 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arturo Rocha | 3256759 | 1 | 07/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Spillman | 6065472 | 1 | 07/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Stanley Reeve | 6064978 | 9 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Stanley Reeve | 6064978 | 9 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Stanley Reeve | 6064978 | 9 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Stanley Reeve | 6064978 | 9 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Stanley Reeve | 6064978 | 9 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Stanley Reeve | 6064978 | 9 | 06/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul K Kapur | 4285978 | 6 | 06/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |