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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Pulliam | 2224237 | 3 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Rae Thompson | 5920567 | 1 | 02/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Dawn Hurne | 2859612 | 1 | 01/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Pieronowski | 5793530 | 3 | 12/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Letitia Ann Wold | 3226533 | 1 | 12/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolyn Jean Tewell | 4337446 | 1 | 11/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Louis Crews | 1845624 | 1 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jean Phelps | 5300632 | 1 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Q Tang | 4109886 | 3 | 09/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Weinberg | 6379753 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |