Raymond James & Associates Inc. Fraud and/or Investment Loss Customer Complaint Disclosures
Raymond James & Associates Inc.: (CRD#:705/SEC#: 801-10418,8-10999)
This firm is located in St. Petersberg, Florida and is licensed in 53 U.S. States and Territories. It was first formed in 1969 and went public in 1983. The company also includes:
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- Alex Brown
- Asset Management Services
- Institutional Fiduciary Solutions
- Investment Advisory Services
- Public Finance Investments Strategies Group
- Raymond James & Associates, Inc.
- Raymond James Consulting Services
- Strategic Investment Management Services
Raymond James Financial, Inc., is the holding company. The Director of the Board is Thomas James.
Raymond James Financial (NYSE-RJF) has approximately 7,900 financial advisors throughout the United States, Canada and overseas with total client of approximately $796 billion as of March 31, 2019.
FINRA Bars Previously Registered Financial Advisor Jeffrey Drost from All Capacities Indefinitely for Lack of Cooperation in Investigation
By Wolper Law Firm, P.A. | September 14, 2021
Jeffrey Drost (CRD#: 4489021) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2002 and previously worked for Raymond James Financial Services, Inc.; Ameriprise Financial Services, Inc.; Investment Professionals, Inc.; The Lincoln National Life Insurance Company; and Lincoln Financial Advisors Corporation. According to [....] Read More →
Raymond James Financial Advisor, Timothy Bartelt, Has Complaint Alleging Unsuitable Investments And Excessive Trading
By Wolper Law Firm, P.A. | August 30, 2021
Timothy Bartelt (CRD#: 2501532) a/k/a “Tim Bartelt” is a registered Broker at Raymond James in Elm Grove, Wisconsin. He entered the securities industry in 1994 and previously worked for Ameriprise Advisor Services, Quick & Reilly, A.G. Edwards and three other brokerage firms, one of which was expelled by FINRA. In [....] Read More →
Raymond James & Associates, Inc., Financial Advisor Ricardo Armijo Has Three Customer Complaints for Allegedly Failing to Disclose Fees
By Wolper Law Firm, P.A. | March 29, 2021
Ricardo Armijo (CRD#: 2694904) is a dually registered Investment Advisor and Broker at Raymond James & Associates, Inc., in Birmingham, MI. He entered the securities industry in 1996 and previously worked for UBS Financial Services, Inc., and Citigroup Global Markets, Inc. According to publicly available records released by the Financial [....] Read More →
Raymond James Broker, Paul Stetter, Has Had Two Customer Complaint Disclosures Since 2019
By Wolper Law Firm, P.A. | December 19, 2020
Paul Stetter (CRD #4513517) is a Financial Advisor at Raymond James Financial Services in Ephrata, Pennsylvania. Paul Stetter has been in the securities industry since 2002 and previously worked at Primevest Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2019, Paul Stetter [....] Read More →
Former Raymond James & Associates, Inc. Broker, Joseph Woitkoski, Suspended By FINRA For Thirty Days For Allegedly Exercising Discretion Without Written Authorization
By Wolper Law Firm, P.A. | August 28, 2020
Joseph Woitkoski (CRD #4172477) was a Financial Advisor at Raymond James & Associates, Inc. in Pitsfiled, MA, Merrill Lynch, Pierce, Fenner & Smith Incorporated in Albany, NY and UBS Financial Services Inc. in Weehawken, NJ. Joseph Woitkoski was in the securities industry from 1998 to 2018. According to publicly available [....] Read More →
Raymond James Discharges Financial Advisor, Douglas Gildenmeister, For Allegations That He Engaged In Unauthorized Trading
By Wolper Law Firm, P.A. | January 10, 2020
Douglas Gildenmeister (CRD # 801713) is a Financial Advisor at Ameriprise Financial Services in Bellevue, OH. Douglas Gildenmeister has been in the securities industry since 1974 and previously worked at Raymond James, Wachovia Securities, Advest, and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority [....] Read More →
Cecil Ross
By Wolper Law Firm, P.A. | December 22, 2019
Cecil Ross (CRD # 2391047) is a Financial Advisor at LPL Financial in San Angelo, Texas. Cecil Ross has been in the securities industry since 1993 and previously worked at Raymond James. While at Raymond James, Cecil Ross was engaged in the practice of selling Unit Investment Trusts. A Unit [....] Read More →
Former Raymond James Advisor, Stuart Nichols, Barred By FINRA After Failing To Comply With A FINRA Investigation Into Allegedly Excessive Trading
By Wolper Law Firm, P.A. | November 7, 2019
Stuart B. Nichols (CRD # 4932310) was a Financial Advisor at Raymond James in Birmingham, AL. Stuart Nichols has been in the securities industry since 2005 and previously worked at Morgan Keegan and Sterne Agee. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October [....] Read More →
The Wolper Law Firm Files Two More Arbitration Claims Against Raymond James On Behalf Of Customers Who Were Targets Of Former Financial Advisor, Steven Reznick’s, Speculative Investment Strategy
By Wolper Law Firm, P.A. | September 29, 2019
Steven Reznick a/k/a Steve Reznick (CRD # 1067199) was a Financial Advisor at Raymond James Financial Services in Tallahassee, FL. Steven Reznick a/k/a Steve Reznick has been in the securities industry since 1982 and previously worked at PEBSCO Securities Corp. Steven Reznick a/k/a Steve Reznick worked as part of a [....] Read More →
Former Raymond James Broker, Stefan Pastor, Barred By FINRA For Allegedly Providing False Information To FINRA During Investigation Into Unauthorized Trading
By Wolper Law Firm, P.A. | September 17, 2019
Stefan Pastor (CRD # 5141819) is a former Financial Advisor at Raymond James Financial Services in Fort Lauderdale, FL. Stefan Pastor has been in the securities industry since 2006 and previously worked at Walnut Street Securities, Inc. and Ameriprise Financial Services, Inc. According to publicly available records released by the [....] Read More →
