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 |
|---|---|---|---|---|---|---|---|---|
| Holly Louise Walcher | 1512169 | 3 | 12/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Paul Aylesworth | 3121494 | 3 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Anderson Sutton | 1700740 | 1 | 07/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Agree Hack | 232881 | 2 | 07/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Paul Aylesworth | 3121494 | 3 | 05/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Michael Mitchell | 3091132 | 2 | 01/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Timothy Falzone | 2543608 | 1 | 05/06/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Sardina | 3068885 | 3 | 03/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William C Yuen | 4338061 | 3 | 02/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kerrie Leigh Milligan | 4276095 | 3 | 01/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |