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 |
|---|---|---|---|---|---|---|---|---|
| Marie Louise Komar | 2944844 | 4 | 12/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendsday L Hughes | 5500337 | 1 | 11/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Cronin | 7283341 | 1 | 10/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared W Overacker | 6323829 | 2 | 09/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kim Nikki Shechtman | 7422791 | 1 | 09/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 09/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 09/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen A Kimmel | 5397407 | 3 | 08/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kostas Nickolas Mattis | 5399132 | 3 | 08/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |