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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Arthur Wood | 1042504 | 1 | 10/03/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Sarres Nelson | 1007980 | 1 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Enoch Walton | 1313208 | 3 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eliot Mitchel Weissberg | 719046 | 1 | 02/25/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Nicholas Semjen | 1401004 | 5 | 02/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Lynne Lockwood | 1422855 | 1 | 09/18/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Kellogg Marsh | 842082 | 1 | 04/20/1983 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Stephen Putnam | 369059 | 7 | 08/19/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Eric Weddle | 2799835 | 1 | 12/01/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stephen Putnam | 369059 | 7 | 03/27/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |