Search for: "Raymond & Associates LLC"
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18 Mar 2019, 6:46 am
According to BrokerCheck records financial advisor George Mathis (Mathis), currently employed by Raymond James & Associates, Inc. [read post]
5 Feb 2019, 1:16 pm
His previous employers are Raymond James Financial Services, Inc. [read post]
18 Jan 2019, 9:35 am
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
15 Jan 2019, 7:19 am
George Mathis (CRD #4271854) has been employed with Raymond James & Associates since November 2011. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc… [read post]
12 Dec 2018, 11:52 am
That same year, Coleman and Raymond Pace Alexander filed a petition to desegregate Girard College which was created in 1833 by the will of Stephen Girard to benefit “poor, white orphan boys. [read post]
3 Dec 2018, 6:45 pm
Mark Tudor Has 5 Disclosures on His FINRA BrokerCheck Report, & Has 21 Years of Experience in the Securities Industry with 6 Different Firms Mark Tudor was registered with Raymond James Financial Services, Inc in Lake Mary, FL from June 13, 2014 until October 31, 2018, and with Raymond James & Associates, Inc. in Winter Park, FL from February 13, 2013 until June 17, 2014, FINRA notes. [read post]
16 Nov 2018, 12:41 pm
(CRD #2688964, Bethlehem, Pennsylvania) Markus was fined $10,000 and suspended from association with any FINRA member in all capacities for two years. [read post]
8 Nov 2018, 7:34 am
(Raymond James) for altering documents. [read post]
26 Oct 2018, 7:31 am
Morgan Securities LLC Well Fargo Advisors, LLC Stephen Murray Raymond James & Associates, Inc Morgan Keegan & Company, Inc Ivan Reyes Alexander Capital, L.P. [read post]
6 Oct 2018, 10:09 am
In addition, in September 2011 Raymond James and Associates, Inc. [read post]
23 Sep 2018, 9:50 am
Hubbard, for Cash Zone, LLC d/b/a Cash Biz, Respondent.Patrick E. [read post]
21 Aug 2018, 5:14 am
Morgan Securities LLC Chase Investment Services Corp Spencer Joseph Lassetter Fidelity Brokerage Services LLC Andrea Marie Milinkovic PNC Investments Suntrust Investment Services, Inc Stephen Allen Murray Raymond James & Associates, Inc Morgan Keegan & Company, Inc George James Oldoerp H. [read post]
8 Aug 2018, 12:25 pm
He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. [read post]
9 Jul 2018, 12:37 pm
According to FINRA Disciplinary actions for June 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Daniel Harry Curkan Sigma Financial Corporation Morgan Stanley Diaz, Anthony IBN Financial Services, Inc Sandlapper Securities, LLC Brandon Avery Duncan Royal Alliance Associates, Inc … [read post]
30 Jun 2018, 12:52 pm
Previous registrations include the Securities Service Network, Inc., Raymond James Financial Services, Inc., and Edward Jones. [read post]
4 Jun 2018, 6:30 am
Concorde Investment Services, LLC Independent Financial Group, LLC Jeffrey Michael Johnson Morgan Stanley Raymond James & Associates, Inc Rick Douglas Konency National Securities Corporation J.P. [read post]
9 Mar 2018, 11:18 am
The Second Circuit Opinion The Second Circuit opinion authored by Judge Raymond J. [read post]
6 Feb 2018, 7:30 am
Stanley Calvin Pigue Edward Jones Jordan Charles Rodden LPL Financial LLC Raymond James & Associates, Inc. [read post]
12 Jan 2018, 8:48 am
Morgan Securities, LLC Kayla Jo Brassesco Aalim Jamaal Brown NYLife Securities LLC Laura Ann Cava Wells Fargo Clearing Services, LLC Wells Fargo Advisors LLC Wesley Claflin Merrill Lynch, Pierce, Fenner & Smith Inc Brett Allen DeFore Raymond James & Associates, Inc. [read post]
