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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Lacey Alexandra Lopez | 7482999 | 7 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Debello | 1651440 | 3 | 05/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Amoy Hartendorp | 1379075 | 1 | 05/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Almitra G Hensley | 2989574 | 4 | 05/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Almitra G Hensley | 2989574 | 4 | 05/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Almitra G Hensley | 2989574 | 4 | 04/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Ryan Rogers | 2479165 | 1 | 04/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |