RAYMOND JAMES (USA) LTD of VANCOUVER is an SEC-registered investment adviser (CRD 25853). Regulatory assets under management: $2.0B.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities, Corporations.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Shawn Joseph Barko | DIRECTOR | — |
| Steven Robert Marcus | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| Christopher John Lim | CHIEF FINANCIAL OFFICER | — |
| Patricia Balezentis | DIRECTOR | — |
| Sean Patrick Boyle | DIRECTOR | — |
| Efstratios Michael Serbanos | GENERAL COUNSEL | — |
| Harris Ayyub | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | — |
| Barbara Majerski | CHIEF COMPLIANCE OFFICER | — |
| James Robert Coulter | DIRECTOR | — |
| PEISNER SCOTT DAVID | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| BOYLE DANIEL PATRICK | DIRECTOR | — |
| SERBANOS EFSTRATIOS MICHAEL | GENERAL COUNSEL | — |
| HOLMES MICHAEL LEOPOLD | DIRECTOR, SECRETARY & CHIEF OPERATING OFFICER | — |
| RICHARD SANDRA MAUD | CHIEF OPERATING OFFICER; DIRECTOR, CHIEF FINANCIAL OFFICER; DIRECTOR, CHIEF FINANCIAL OFFICER, SECRETARY & CHIEF OPERATING OFFICER | — |
| KRUTOW WILLIAM BRUCE | CAPITAL MARKETS COMPLIANCE OFFICER | — |
| COULTER JAMES ROBERT | DIRECTOR; SENIOR MANAGING DIRECTOR & GENERAL MANAGER, EQUITY CAPITAL MARKETS | — |
| OLESEN LESLIE SHEDD | CHIEF COMPLIANCE OFFICER, AML OFFICER | — |
| MACCOSHAM RODERICK SPENCER | SENIOR MANAGING DIRECTOR OF EQUITY TRADING | — |
| EIBEN LAWRENCE J | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MARCUS STEVEN ROBERT | CHIEF COMPLIANCE OFFICER, CHIEF PRIVACY OFFICER AND CHIEF AML OFFICER; DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| BARKO SHAWN JOSEPH | DIRECTOR | — |
| MCDONALD ROBERT DONALD MR | DIRECTOR | — |
| SIAU KONG YU | CHIEF COMPLIANCE OFFICER AND CHIEF ANTI-MONEY LAUNDERING OFFICER | — |
| VERCH SYBIL DIANE | CHAIR; DIRECTOR | — |
| CHESTER ASHLEY GRIFFITH | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-16 | regulatory | BETWEEN OCTOBER 2019 AND NOVEMBER 2019, THE RESPONDENT ENTERED ORDERS FOR THE SHARES OF CITATION GROWTH CORP., THAT HE OUGHT REASONABLY TO HAVE KNOWN WOULD CREATE, OR COULD REASONABLY BE EXPECTED TO CREATE, A FALSE OR MISLEADING APPEARANCE OF TRADING ACTIVITY OR INTEREST IN THE PURCHASE OR SALE OF T… | Final | $15K |
| 2023-05-16 | regulatory | BETWEEN OCTOBER 2019 AND NOVEMBER 2019, THE RESPONDENT ENTERED ORDERS FOR THE SHARES OF CITATION GROWTH CORP., THAT HE OUGHT REASONABLY TO HAVE KNOWN WOULD CREATE, OR COULD REASONABLY BE EXPECTED TO CREATE, A FALSE OR MISLEADING APPEARANCE OF TRADING ACTIVITY OR INTEREST IN THE PURCHASE OR SALE OF T… | Final | $21K |
| 2006-04-27 | regulatory | IN THE PERIOD FEBRUARY 2003 TO FEBRUARY 2005, RAYMOND JAMES LTD CONTRAVENED RS INC UNIVERSAL MARKET INTEGRITY RULES ("UMIR") RELATING TO CLIENT PRIORITY, FAILURE TO RECORD CLIENT CONSENTORDER MAKINGAND AUDIT TRAIL ON NUMEROUS OCCASIONS. IN THE PERIOD JULY 2003 TO FEBRUARY 2005, RAYMOND JAMES LTD. FA… | Final | $525K |
| 2006-04-12 | regulatory | SEC RULE 17A-4 REQUIRES THAT BROKERAGE FIRMS MAINTAIN AND PRESERVE, FOR A PERIOD OF NOT LESS THAN THREE YEARS, ELECTROIC COMMUNICATIONS RELATING TO THE FIRM'S BUSINESS AS A BROKER-DEALER. IN NOTICE TO MEMBERS 01-80 AMD 03-33, NASD COMMUNICATED TO MEMBERS THEIR RECORDKEEPING AND SUPERVISORY OBLIGATIO… | Final | $50K |