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 |
|---|---|---|---|---|---|---|---|---|
| Sheree Denise Butler | 2306140 | 15 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Victoria Swafford | 5930413 | 2 | 08/12/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 08/09/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 08/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Anne Harman | 6129322 | 1 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Almitra G Hensley | 2989574 | 4 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 07/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Victoria Swafford | 5930413 | 2 | 07/16/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |