Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, 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 |
|---|---|---|---|---|---|---|---|---|
| Vijay Baxter | 6325095 | 1 | 09/21/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Charles Guardiola | 2946102 | 1 | 12/28/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sara Yasmin Qazi | 4118177 | 5 | 03/12/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Paul Altieri | 1951972 | 5 | 02/11/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Jay Shapiro | 2872328 | 5 | 07/31/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicole Anna Marie McIlwaine | 2758099 | 1 | 06/16/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Peter Setness | 4856215 | 1 | 02/20/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew H Lee | 2257654 | 2 | 11/20/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yaakov Ari Ringler | 4419944 | 2 | 06/06/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Henry R Grinberg | 4605039 | 1 | 06/08/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |