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 |
|---|---|---|---|---|---|---|---|---|
| Philip Michael Faulk | 2801866 | 3 | 06/14/2010 | Customer Dispute | Final | $25,000.00 | $0.00 | See FINRA Report |
| Gregg Joseph Powers | 2132808 | 2 | 04/28/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Jude Daeger | 4999504 | 3 | 06/15/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Donald Davis | 1999363 | 5 | 06/02/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Ray Hosek | 3268033 | 8 | 01/01/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tarra Talara Grazley-Pfister | 2390762 | 1 | 10/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter John Kelly | 2419794 | 2 | 10/25/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Wayne Teran | 1076442 | 1 | 02/15/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Allbright | 1114087 | 1 | 11/06/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jo Ann Elisabeth Favia | 1621667 | 2 | 06/30/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |