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 |
|---|---|---|---|---|---|---|---|---|
| Mary Sarres Nelson | 1007980 | 1 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Powers | 1425367 | 4 | 04/13/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Paul Sarin | 1183965 | 2 | 11/23/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 05/27/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Thompson Schmid | 1259468 | 2 | 01/23/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 09/25/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 02/01/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Corey Edward Wagner | 872020 | 1 | 08/10/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 02/11/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Jackson Roeder | 402493 | 1 | 05/01/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |