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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Paul Aylesworth | 3121494 | 3 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Anderson Sutton | 1700740 | 1 | 07/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa A Welsh | 1370854 | 8 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa A Welsh | 1370854 | 8 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa A Welsh | 1370854 | 8 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa A Welsh | 1370854 | 8 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Laurence Theriault | 5106542 | 1 | 06/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lacey Alexandra Lopez | 7482999 | 7 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lacey Alexandra Lopez | 7482999 | 7 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lacey Alexandra Lopez | 7482999 | 7 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |