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 |
|---|---|---|---|---|---|---|---|---|
| Katrina Emma Toler | 4722079 | 1 | 10/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 09/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 09/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tina Renee Hendrix | 6443191 | 1 | 09/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 08/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori Sullivan Antolovic | 1480968 | 1 | 08/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Anne Harman | 6129322 | 1 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |