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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Brennen Niklaus | 6337599 | 1 | 10/07/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Andrew Schmitz | 1504838 | 2 | 01/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frankie Gonzalez | 4283590 | 4 | 09/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elise B Feldman | 3087315 | 1 | 08/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roland Martin | 6085052 | 1 | 07/10/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Grabbe | 5294056 | 1 | 11/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Isaac Franklin Stevens | 827523 | 4 | 11/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Dawn Smith | 3112353 | 1 | 10/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Ryan Buechting | 3235635 | 1 | 10/03/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Bassett | 6721155 | 3 | 09/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |