0000724743-15-000032.txt : 20150218 0000724743-15-000032.hdr.sgml : 20150216 20150217091846 ACCESSION NUMBER: 0000724743-15-000032 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RAYMOND JAMES & ASSOCIATES, INC. CENTRAL INDEX KEY: 0000724743 IRS NUMBER: 591237041 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04449 FILM NUMBER: 15618385 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-4712 MAIL ADDRESS: STREET 1: P.O. BOX 12749 CITY: ST. PETERSBURG STATE: FL ZIP: 33733-2749 FORMER COMPANY: FORMER CONFORMED NAME: RAYMOND JAMES & ASSOCIATES INC /BD DATE OF NAME CHANGE: 20020124 FORMER COMPANY: FORMER CONFORMED NAME: RAYMOND JAMES & ASSOCIATES INC /BD DATE OF NAME CHANGE: 19990923 MA-I/A 1 primary_doc.xml MA-I/A 0000724743 XXXXXXXX CLARISSA N. KERR 901-680-8474 clarissa.kerr@raymondjames.com Diane.anderson@raymondjames.com Minnie.whitmire@raymondjames.com N N VINTON LEE ROLLINS 000403264 N 1 0000724743 RAYMOND JAMES & ASSOCIATES, INC. 01-02-2013 N FORM MA WILL BE FILED SHORTLY LOCATED 01-02-2013 630 FIFTH AVENUE, 29TH FLOOR NEW YORK NY 10111 01-2013 RAYMOND JAMES & ASSOCIATES, INC. NEW YORK NY 10111 Y Y REGISTERED ASSOCIATE 06-2007 01-2013 MORGAN KEEGAN & COMPANY, INC. NEW YORK NY 10111 Y Y BANKER 05-2001 06-2007 SHATTUCK HAMMOND PARTNERS LLC NEW YORK NY 10111 Y Y MEMBER, MUNICIPAL SECURITIES PRINCIPAL, GENERAL SECURITIES REPRESENTATIVE Y 09-1998 XINTEK, INC. 7020 KIT CREEK ROAD, #210 RESEARCH TRIANGLE PARK NC 27709 N N THE COMPANY DEVELOPS AND MANUFACTURES NANOMATERIAL-BASED FIELD EMISSION TECHNOLOGIES AND PRODUCTS FOR A BROAD RANGE OF APPLICATIONS INCLUDING DIAGNOSTIC MEDICAL IMAGING, HOMELAND SECURITY, AND INFORMATION DISPLAY. DIRECTOR/ OFFICER/MEMBER 0 AS BOARD MEMBER: PARTICIPATE IN ANNUAL SHAREHOLDERS MEETING BY CONFERENCE CALL; BE AVAILABLE FROM TIME TO TIME FOR CALLS WITH MANAGEMENT AND MEETING THEM WHEN THEY COME TO NEW YORK 09-2014 SCIENTIFIC INTAKE LTD 2859 PACES FERRY ROAD, #1710 ATLANTA GA 30339 N N HEALTH CARE PERSONAL / PRIVATE INVESTMENT 0 INVESTOR 09-2014 PHYSICIANS RECOMMENDED NUTRICEUTICALS N/A NEW YORK NY 10075 N N HEALTH CARE PERSONAL / PRIVATE INVESTMENT 0 INVESTOR 09-2014 ROYAL STERLING DEVELOPMENT LLC N/A NEW YORK NY 10075 N N INVESTMENT PERSONAL / PRIVATE INVESTMENT 0 INVESTOR 09-2014 GLACIA NOVA LLC 1520 15TH STREET, NW #120 AUBURN WA 98001 N N WATER PRODUCTS PERSONAL / PRIVATE INVESTMENT 2 LISTEN IN ON BOARD AND INTERNAL MANAGEMENT CALLS 09-2014 PREFERRED PET CARE, INC. 233 RUTGERS STREET MAPLEWOOD NJ 07040 N N PET CARE PERSONAL / PRIVATE INVESTMENT 1 INVESTOR N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 02-12-2015 DIANE ANDERSON COMPLIANCE MANAGER - PCG