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 |
|---|---|---|---|---|---|---|---|---|
| Erwin Anthony Beltran | 3006096 | 18 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Charles Pingeton | 858197 | 5 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathlene L Crisp | 2942590 | 1 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Edward Dunn | 2977211 | 2 | 08/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Virginia Kilgore Fiveash | 1882716 | 1 | 08/01/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph William Sheppard | 7012140 | 1 | 07/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Valenzuela | 2466796 | 7 | 07/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa A Welsh | 1370854 | 8 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa A Welsh | 1370854 | 8 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |