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 |
|---|---|---|---|---|---|---|---|---|
| Stephen A Kimmel | 5397407 | 3 | 03/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 03/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Troiano | 4056883 | 1 | 03/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Tracy Jenkins | 4215608 | 3 | 03/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laurie Zastawrny | 5070960 | 5 | 03/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laurie Zastawrny | 5070960 | 5 | 03/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Iliana Cantu | 5734795 | 1 | 02/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Hurley Ciccarello | 7170469 | 1 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly E Frankel | 1202385 | 6 | 02/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Everett Ferguson | 7191433 | 1 | 01/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |