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 |
|---|---|---|---|---|---|---|---|---|
| Scott Cecil Chadwell | 2269463 | 1 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sonia Katyal | 2830253 | 2 | 10/06/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Octave Joseph Francis | 1590513 | 3 | 06/23/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradford Skidmore Parsons | 2941055 | 2 | 02/25/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 01/22/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Johnson | 1713098 | 2 | 01/20/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 12/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Thomas Theis | 1847193 | 2 | 11/25/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Reid Petty | 2031149 | 1 | 11/16/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Francis Liberty | 1999231 | 1 | 08/11/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |