Category: Raymond James

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 […]

Jermaine Benjamin (CRD#: 6152653) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2013 and previously worked for Raymond James Financial Services, Inc.; and Pruco Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Guilford Nergard (CRD#: 2360614) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 1993 and previously worked for San Blas Securities, LLC; Newbridge Securities Corporation; Raymond James & Associates, Inc.; Morgan Stanley; Citigroup Global Markets, Inc.; and Lehman Brothers, Inc.   Current And Past Allegations […]

Alberto Valdes (CRD # 4378138) is a Financial Advisor at Citigroup Global Markets in Miami, FL. Eric Garcia has been in the securities industry since 2002 and has worked at Northwestern Mutual, Banc of America Investment Services, Chase Investment Services, Corp., Wells Fargo Advisors and Raymond James Financial Services. According to publicly available records released […]

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 publicly available records released by […]

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 May 2021, the Wolper Law […]

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 Industry Regulatory Authority (FINRA), in […]

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 has been the subject of […]