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 |
|---|---|---|---|---|---|---|---|---|
| Gregory George Wagner | 5480915 | 3 | 04/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammie Sue Allison | 2648813 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammie Sue Allison | 2648813 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammie Sue Allison | 2648813 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammie Sue Allison | 2648813 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammie Sue Allison | 2648813 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammie Sue Allison | 2648813 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Ryan Emory | 4918887 | 1 | 03/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Morrissey | 5814382 | 5 | 02/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hazel Jean Heriges | 1371831 | 1 | 02/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |