Category: Raymond James & Associates Inc

Todd Roggen (CRD#: 721463) is a registered financial advisor with Oneseven in Houston, TX. Broker’s History He entered the securities industry in 1980 and previously worked with Rotan Mosle, Inc.; Cowen & Co.; Cowen Securities, Inc.; Prudential Securities Incorporated; First Union Securities, Inc.; UBS Financial Services, Inc.; and Raymond James Financial Services, Inc. Current and […]

Jose Abel Gamez (CRD#: 4292479) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2000 and previously worked with USAA Investment Management Company; Chase Investment Services Corp.; Capital One Investment Services, LLC; LPL Financial LLC; and Raymond James Financial Services, Inc. Current and Past Allegations of Conduct Leading […]

Janet Franco Gordon (CRD#: 1114409) is a registered broker and investment advisor with Raymond James & Associates, Inc., in Coral Gables, FL. Broker’s History She entered the securities industry in 1983 and previously worked with Drexel Burnham Lambert Incorporated; Citigroup Global Markets, Inc.; and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment […]

Raymond James & Associates, Inc. (CRD#: 705) and Raymond James Financial Services, Inc. (CRD#: 6694) are a registered brokerage firm and investment advisor firm in St. Petersburg, FL. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Since at least January 2018, RJA (Raymond James and Associates) and […]

Thomas Reyes Jr. (CRD#: 3168338) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1999 and previously worked with IDS Life Insurance Company; American Express Financial Advisors, Inc.; MML Investors Services, Inc.; Securities America, Inc.; Pruco Securities, LLC; Securian Financial Services, Inc.; First National Capital Markets; Raymond James […]

Bryan Noonan (CRD#:4864372) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2004 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Wells Fargo Investments, LLC; NYLife Securities LLC; Wells Fargo Advisors, LLC; Edward Jones; and Raymond James Financial Services, Inc. Allegations of Misconduct According to […]

Emily Jean Smith (CRD#: 6287728) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2014 and previously worked with Morgan Stanley, and Raymond James Financial Services, Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

William Colin Seibert (CRD#: 2710335) is a registered broker and investment advisor at Raymond James & Associates, Inc., in Houma, LA. Broker’s Background He entered the securities industry in 1996, and previously worked for Bank United Securities Corp.; Pritchard Capital Partners, LLC (FINRA expelled the firm in 2012); Wells Fargo Brokerage Services, LLC; Wells Fargo […]

Raymond Sardina (CRD#: 3068885) is a registered Broker and an Investment Adviser at Raymond James & Associates, Inc. in Coral Gables, FL. Broker’s Background He entered the securities industry in 2000 and previously worked for Morgan Stanley, and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly […]