RAYMOND JAMES (USA) LTD. ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 25853
- Firm name
- RAYMOND JAMES (USA) LTD.
- Other names / DBAs
- GOEPEL MCDERMID (USA) INC.; RAYMOND JAMES LTD (USA), INC.; RAYMOND JAMES (USA) LTD.; RAYMOND JAMES (USA) LTD; GOEPEL, SHIELDS & PARTNERS USA, INC.
- IA scope
- ACTIVE
- SEC IA file
- 801-72137
- SEC BD file
- 8-42071
- Branches
- 0
- Disclosure events
- YES
- HQ
- VANCOUVER, V6C3L2, Canada
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