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 |
|---|---|---|---|---|---|---|---|---|
| Guy Edward Yandel | 1383066 | 1 | 09/06/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Paul Sarin | 1183965 | 2 | 07/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Oneill | 871604 | 1 | 01/24/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Parker | 1195044 | 2 | 12/27/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 12/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Nelson Alsfeld | 855016 | 1 | 09/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Sarres Nelson | 1007980 | 1 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Powers | 1425367 | 4 | 04/13/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Paul Sarin | 1183965 | 2 | 11/23/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 05/27/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |