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 |
|---|---|---|---|---|---|---|---|---|
| Theresa L McMasters | 4015437 | 16 | 03/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Carol Martin | 6370092 | 1 | 03/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 03/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 03/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly E Frankel | 1202385 | 6 | 03/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack R Fisher | 7491546 | 2 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 02/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly E Frankel | 1202385 | 6 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |