Branch offices
0 offices
FINRA: Medium firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 25853 Grade C
Raymond James (USA) Ltd. - FINRA BrokerCheck Disciplinary Record
Corporation. 0 branch offices, 1 BrokerCheck disclosure.
Raymond James (USA) Ltd. registration status - ACTIVE
The verdict
Raymond James (USA) Ltd. carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Typical disclosure intensity for a firm of this size, review the underlying records.
- 0
- branch offices (single-office firm)
- 1
- BrokerCheck disclosure
- 1
- regulatory action
PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Disclosure Profile
Raymond James (USA) Ltd.'s disclosure record, broken down by category and footprint.
Disclosures per office
-
Heavy load
Regulatory share
100%
of total disclosures
Size class
Single-office firm
0 branches
Firm Details
- Firm Size
- Medium
- Scope
- ACTIVE
- Location
- Vancouver, B.C., V6C 3L2
- Formed
- 09/15/2006
- CRD Number
- 25853
- SEC Number
- 42071
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Raymond James (USA) Ltd.
Raymond James (USA) Ltd. (Corporation, CRD# 25853 · SEC# 42071) operates 0 branch offices - a single-office firm (FINRA: medium), scope ACTIVE.
BrokerCheck shows 1 disclosure: 1 regulatory, 0 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of C mean for Raymond James (USA) Ltd.?
A grade of C reflects Raymond James (USA) Ltd.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Raymond James (USA) Ltd. have?
Raymond James (USA) Ltd. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Raymond James (USA) Ltd.?
Raymond James (USA) Ltd. operates 0 branch offices and is classified by FINRA as a medium firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Raymond James (USA) Ltd.'s disciplinary record?
You can verify Raymond James (USA) Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 25853. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Raymond James (USA) Ltd. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Raymond James (USA) Ltd. carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
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Read our methodology - how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.