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 |
|---|---|---|---|---|---|---|---|---|
| Logan Barrett Saufley | 6450309 | 1 | 07/22/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Allyson S Herman | 7716102 | 3 | 03/21/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 03/04/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 02/02/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jennifer Rebecca Cisternas | 2821562 | 3 | 01/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 12/27/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lori Lynn Fugate | 2105967 | 3 | 12/08/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Allyson S Herman | 7716102 | 3 | 10/31/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Allyson S Herman | 7716102 | 3 | 09/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 07/20/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |