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 |
|---|---|---|---|---|---|---|---|---|
| Charles Donovan Alfaro | 7008774 | 1 | 10/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexis Marie Guilbeau | 5757999 | 1 | 09/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Lynn Kelso | 2697452 | 1 | 08/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yvonne Emeric | 4437771 | 1 | 08/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Prizzi | 1508138 | 1 | 08/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon Ann Kaylor | 2508459 | 3 | 08/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryn Jo Garvin | 5229786 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Andrew Roeser | 5573203 | 2 | 07/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Edwin Baker | 6944327 | 1 | 07/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dylan Thomas McEvilly | 6722278 | 1 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |