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 |
|---|---|---|---|---|---|---|---|---|
| Ann Marie Prizzi | 1508138 | 1 | 08/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon Ann Kaylor | 2508459 | 3 | 08/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryn Jo Garvin | 5229786 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Agree Hack | 232881 | 2 | 07/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Andrew Roeser | 5573203 | 2 | 07/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Edwin Baker | 6944327 | 1 | 07/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dylan Thomas McEvilly | 6722278 | 1 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Paul Aylesworth | 3121494 | 3 | 05/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Debello | 1651440 | 3 | 05/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles M Bonatakis | 1006233 | 3 | 05/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |