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 |
|---|---|---|---|---|---|---|---|---|
| Alfred Lafayette Stratford | 2306577 | 2 | 04/14/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Benjamin Fletcher | 2492089 | 2 | 12/17/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Dale Williams | 2140295 | 2 | 09/26/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Ray Edwards | 2518225 | 1 | 08/08/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert D Williams | 826960 | 5 | 04/25/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Allan Walsh | 458092 | 6 | 03/12/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tyler Thomas Staples | 5317473 | 1 | 10/20/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William David Bradley | 1907902 | 1 | 06/28/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alex Ivan Gallego | 1908462 | 8 | 01/08/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Sutherland Pfeifer | 2335221 | 3 | 12/06/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |