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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Gaffney | 2580026 | 4 | 04/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Ann Hawkins | 2622582 | 7 | 03/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John H Galbraith | 2917341 | 2 | 03/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Antionette Small | 6714769 | 4 | 03/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Claire Barrett | 4391805 | 1 | 03/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly E Frankel | 1202385 | 6 | 03/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Antionette Small | 6714769 | 4 | 03/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Lynn McAndrew | 6494447 | 2 | 01/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 12/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marie Louise Komar | 2944844 | 4 | 12/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |