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 |
|---|---|---|---|---|---|---|---|---|
| Lauren Rudd | 1730565 | 1 | 08/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 07/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 06/08/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 05/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John H Galbraith | 2917341 | 2 | 05/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Meggan E Bosarge | 6552338 | 1 | 05/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared W Overacker | 6323829 | 2 | 04/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renae Louise Cobern | 4307995 | 10 | 04/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 04/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |