Search for: "Raymond James Financial, Inc."
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18 Oct 2018, 12:48 pm
According to BrokerCheck records financial advisor George Puliafico (Puliafico), employed by Raymond James Financial Services, Inc. [read post]
6 Oct 2018, 10:09 am
In addition, in September 2011 Raymond James and Associates, Inc. [read post]
2 Oct 2018, 5:40 am
Damian Serret PFS Investments Inc Primerica Financial Services Charles Suhar The Huntington Investment Company LPL Financial LLC Zachary Swords Farmers Financial Solutions, LLC Bryce Vance Farmers Financial Solutions, LLC Stephen Yaworsky Raymond James Financial Services, Inc. [read post]
23 Sep 2018, 4:03 pm
Acuity Specialty Products Group, Inc., 639 F.3d 11 (1st Cir. 2011), cert. denied sub nom., U.S. [read post]
13 Sep 2018, 9:27 am
Taek Man Chong (CRD #1551743) is a previously registered broker and investment advisor who was last registered with Raymond James Financial Services, Inc. [read post]
5 Sep 2018, 1:12 pm
Stephen Allen Murray (CRD #343722) is a former registered broker and investment advisor who was last employed by Raymond James & Associates, Inc. [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]
27 Jul 2018, 7:53 am
According to BrokerCheck records financial advisor Matthew Werthe (Werthe), employed by Raymond James Financial Services, Inc. [read post]
26 Jul 2018, 11:45 am
Securities attorneys at Gana Weinstein LLP have been investigating 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,… [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]
22 Jun 2018, 6:52 pm
From 2009 to 2017, Vaccaro was registered with Raymond James Financial Services, Inc. [read post]
14 Jun 2018, 3:56 pm
Silver Law Group is investigating Wellington, Florida-based Raymond James Financial Services, Inc. [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]
8 May 2018, 8:53 am
Richard James Murphy Tullett Prebon Financial Services LLC Citation Financial Group, L.P. [read post]
3 May 2018, 1:49 pm
Phillips is a previously registered broker who last worked as a broker for Raymond James & Associates (CRD #705) in Jackson MS, from 2013 to 2016. [read post]
21 Mar 2018, 8:15 am
Kenneth Mathieson, according to his online, public BrokerCheck report with FINRA, was previously registered with Prudential Securities Inc. in New York, New York from September 1987 until November 1999, Citigroup Global Markets in New York from November 1999 until June 2009, Morgan Stanley in New York from June 2009 until April 2014 and Raymond James in New York from June 2014 until March 2017. [read post]
6 Mar 2018, 8:02 am
James Albert Pettit Ameriprise Financial Services, Inc. [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]
