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 |
|---|---|---|---|---|---|---|---|---|
| Kyle C Wootten | 4402198 | 3 | 11/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 14 | 11/27/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jon Travis Rice | 4961184 | 1 | 11/13/2022 | Customer Dispute | Pending | $139,000.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 11/09/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Andrew Fischer | 2164405 | 1 | 10/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Francis Roskowski | 5832618 | 1 | 10/25/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Philip Scott Bradshaw | 5111576 | 2 | 10/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Renee Suzanne Ballow | 5094632 | 2 | 10/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle C Wootten | 4402198 | 3 | 09/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Charles Pingeton | 858197 | 4 | 09/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |