Articles Tagged with Raymond James Financial Services

Ralph Smith

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Georgia-based Raymond James Financial Services broker/adviser Ralph Smith is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 1709504)

Ralph Smith has spent 29 years in the securities industry and has been registered with Raymond James Financial Services in Valdosta, Georgia since 1999. Previous registrations include Merrill Lynch in New York, New York (1997-1999); the Variable Annuity Marketing Company in Houston, Texas (1995-1997); GR Phelps & Company (1993-1995); FSC Securities Corporation in Atlanta, Georgia (1992-1993); Kavanaugh Securities in Dallas, Texas (1992); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1989-1991); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1989-1991); Kavanaugh Securities (1988-1989); and Southmark Financial Services (1987-1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 5, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on August 6, 1997; Series 22 (Direct Participation Programs Representative Examination), which he obtained on June 16, 1988; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1987; and Series 24 (General Securities Principal Examination), which he obtained on March 9, 2000. He is a registered broker and investment adviser with six US states: California, Florida, Georgia, South Carolina, Texas and Virginia.

According to his BrokerCheck report, he has received two pending customer complaints.

Marc Schmitz

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that South Dakota-based Raymond James Financial Services broker/adviser Marc Schmitz has a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schmitz (CRD# 2474613).

Marc Schmitz has spent 23 years in the securities industry and has been registered with Raymond James Financial Services in Pierre, South Dakota since 1999. Previous registrations include Robert Thomas Securities in St. Petersburg, Florida (1998-1999); RJ Steichen & Company in Minneapolis, Minnesota (1995-1998); and Primevest Financial Services in St. Cloud, Minnesota (1994-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 23, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1994; Series 7 (General Securities Representative Examination), which he obtained on May 13, 1994; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on March 25, 2003; and Series 24 (General Securities Principal Examination), which he obtained on April 30, 1999. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Florida, Illinois, Indiana, Maine, Minnesota, Missouri, Montana, Nebraska, Nevada, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, South Dakota, Texas, Virginia, Washington, Wisconsin, and Wyoming.

According to his BrokerCheck report, he has received one pending customer complaint.

Jared RoskelleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 8, 2017 indicate that former Arizona-based Raymond James Financial Services broker/adviser Jared Roskelley has been involved in customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roskelley (CRD# 3139812).

Jared Roskelley has spent 17 years in the securities industry and has been registered with Raymond James Financial Services in Scottsdale, Arizona since 2016. Previous registrations include Cambridge Investment Research in Scottsdale, Arizona (2006-2016); Cambridge Investment Research in Fairfield, Iowa (2005); and SunAmerica Securities in Phoenix, Arizona (1998-2004). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 12, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 14, 1999; Series 7 (General Securities Representative Examination), which he obtained on October 28, 1998; and Series 24 (General Securities Principal Examination), which he obtained on December 3, 2009. He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, he has received two customer complaints, one denied customer complaint, one regulatory sanction, and was discharged from a former employer in connection to alleged rule violations.

Philip FaulkPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Tennessee-based Raymond James Financial Services broker/adviser Philip Faulk has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Faulk (CRD# 2801866).

Philip Faulk has spent 14 years in the securities industry and has been registered with Raymond James Financial Services in Knoxville, Tennessee since January 2017. Previous registrations include Raymond James & Associates in Knoxville, Tennessee (2013-2016); Morgan Keegan & Company in Knoxville, Tennessee (2004-2013); and NBC Capital Markets Group in Memphis, Tennessee (2002-2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). Mr. Faulk is a registered broker and investment adviser with nine US states and territories: Arkansas, Florida, Georgia, Louisiana, Michigan, Mississippi, Tennessee, Texas and Wisconsin.

According to his BrokerCheck report, Philip Faulk has been named in a pending customer complaint.

Matthew Mason

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that Texas-based Raymond James Financial Services broker/adviser Matthew Mason has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mason (CRD# 4584659).

Matthew Mason has spent 14 years in the securities industry and has been registered with Raymond James Financial Services in Sulphur Springs, Texas since 2012. Previous registrations include Chase Investment Services Corporation in Commerce, Texas (2005-2012); Country Capital Management Company in Bloomington, Illinois (2005); and Equity Services in Montpelier, Vermont (2002-2005). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with five US states: Colorado, Florida, Indiana, Oklahoma and Texas.

According to his BrokerCheck report, Matthew Mason has been the subject of one customer complaint.

Eric FreyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that California-based Raymond James Financial Services broker/adviser Eric Frey has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Frey (CRD# 2162956).

Eric Frey has spent 25 years in the securities industry and has been registered with Raymond James Financial Services in Red Bluff, California since 2000. Previous registrations include London Pacific Advisors in Sacramento, California (1995-2000) and The Advisors Group in Bethesda, Maryland (1991-1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 51 (Municipal Fund Securities Principal Examination); and Series 24 (General Securities Principal Examination. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Hawaii, Idaho, Nevada, Oregon, Tennessee and Texas.

According to his BrokerCheck report, he has received one pending customer complaint.

Mitchell BehmPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that former Colorado-based Raymond James Financial Services broker/adviser Mitchell Behm has been the subject of a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Behm (CRD# 2828588).

Mitchell Behm has spent nineteen years in the securities industry and was most recently registered with Raymond James Financial Services in Lakewood, Colorado (2016-2017). Previous registrations include Edward Jones in Denver, Colorado; Linsco/Private Ledger Corporation in Denver, Colorado; Charles Schwab & Company in San Francisco, California; Merrill Lynch in New York, New York; and Edward D. Jones & Company in St. Louis, Missouri. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.