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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly E Frankel | 1202385 | 6 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Esther Jacobson | 2965437 | 1 | 01/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Alison Hoernlein | 4470181 | 1 | 01/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammy Jo Mercier | 2752455 | 3 | 12/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Nicole Butler | 7045908 | 3 | 12/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 10/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Nicole Butler | 7045908 | 3 | 10/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Ann Hawkins | 2622582 | 7 | 10/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karina Ludwika Kopaniecka | 5009147 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 09/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |