Category: Raymond James & Associates Inc

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Former Financial Advisor Emily J. Smith Suspended by FINRA for Falsifying Documents

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 […]

Broker William Seibert Allegedly Recommended Unsuitable Investments

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 Has Disclosed $1.5 Million Customer Complaint

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 […]