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 |
|---|---|---|---|---|---|---|---|---|
| Alan Robert Rosenberg | 4156676 | 3 | 01/21/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rushton K Allen | 6233196 | 2 | 09/22/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Michael Hulen | 2237101 | 4 | 05/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 01/22/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 04/05/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Cecil Chadwell | 2269463 | 1 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sonia Katyal | 2830253 | 2 | 10/06/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Octave Joseph Francis | 1590513 | 3 | 06/23/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradford Skidmore Parsons | 2941055 | 2 | 02/25/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |