0000724743-15-000049.txt : 20150424
0000724743-15-000049.hdr.sgml : 20150424
20150424165004
ACCESSION NUMBER: 0000724743-15-000049
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150413
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-01336
FILM NUMBER: 15792339
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/A
1
primary_doc.xml
MA/A
0000724743
XXXXXXXX
CLARISSA NICHELLE KERR
901-680-8474
clarissa.kerr@raymondjames.com
diane.anderson@raymondjames.com
minnie.whitmire@raymondjames.com
RAYMOND JAMES & ASSOCIATES, INC.
000000705
59-1237041
866-00139-00
008-10999
000000705
SEC REGISTERED INVESTMENT ADVISER
801-10418
0000724743
NATIONAL FUTURES ASSOCIATION
0087425
CHICAGO STOCK EXCHANGE (CHX)
705
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
705
INTERNATIONAL SECURITIES EXCHANGE (ISE)
705
PHILADELPHIA STOCK EXCHANGE (PHLX)
705
NASDAQ STOCK EXCHANGE (NQX)
705
ARCHIPELAGO EXCHANGE (ARCA)
705
NYSE-MKT (FORMERLY KNOW AS THE AMERICAN STOCK EXCHANGE)
705
NEW YORK STOCK EXCHANGE (NYSE)
705
ALABAMA
705
ALASKA
705
GUAM (BROKER DEALER)
10054
GUAM (INVESTMENT ADVISOR)
0029
ARKANSAS
705
CALIFORNIA
705
COLORADO
705
CONNECTICUT
705
DELAWARE
705
DISTRICT OF COLUMBIA
705
FLORIDA
705
GEORGIA
705
HAWAII
705
IDAHO
705
ILLINOIS
705
INDIANA
705
IOWA
705
KANSAS
705
KENTUCKY
705
LOUISIANA
705
MAINE
705
MARYLAND
705
MASSACHUSETTS
705
MICHIGAN
705
MINNESOTA
705
MISSISSIPPI
705
MISSOURI
705
MONTANA
705
NEBRASKA
705
NEVADA
705
NEW HAMPSHIRE
705
NEW JERSEY
705
NEW MEXICO
705
NEW YORK
705
NORTH CAROLINA
705
NORTH DAKOTA
705
OHIO
705
OKLAHOMA
705
OREGON
705
PENNSYLVANIA
705
PUERTO RICO
705
RHODE ISLAND
705
SOUTH CAROLINA
705
SOUTH DAKOTA
705
TENNESSEE
705
TEXAS
705
UTAH
705
VERMONT
705
VIRGIN ISLANDS
705
VIRGINIA
705
WASHINGTON
705
WEST VIRGINIA
705
WISCONSIN
705
WYOMING
705
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
727-567-1000
Add
50 NORTH FRONT STREET
MEMPHIS
TN
38103
901-524-4100
Add
630 5TH AVENUE
NEW YORK
NY
10111
212-314-0400
Add
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
727-567-1000
Add
951 EAST BYRD STREET
RICHMOND
VA
23219
804-225-1150
Add
3050 PEACHTREE ROAD
ATLANTA
GA
30305
404-231-5033
404-231-5228
Y
P.O. BOX 12749
ST. PETERSBURG
FL
33733-2749
raymondjames.com
EFSTRATIOS
MICHAEL
SERBANOS
SVP, CHIEF COMPLIANCE OFFICER - RJA
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
727-567-2648
727-567-5609
michael.serbanos@raymondjames.com
MINNIE
NMN
WHITMIRE
SUPERVISOR, REGISTRATIONS
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
727-567-4712
727-567-8420
minnie.whitmire@raymondjames.com
Add
ONTARIO SECURITIES COMMISSION
7110
A6
Add
ALBERTA SECURITIES COMMISSION
7110
A0
Add
BRITISH COLUMBIA SECURITIES COMMISSION
7110
A1
Add
NEW BRUNSWICK SECURITIES COMMISSION
7110
A3
Add
QUEBEC SECURITIES COMMISSION
7110
A8
Add
FOREIGN CONDUCT AUTHORITY
147303
X0
RAYMOND JAMES FINANCIAL SERVICES, INC.
Y
SEC
6694
EAGLE ASSET MANAGEMENT, INC.
Y
SEC
110653
EAGLE BOSTON INVESTMENT MANAGEMENT, INC.
Y
SEC
None
RAYMOND JAMES (USA) LTD.
Y
SEC
25853
RAYMOND JAMES ARGENTINA SOCIEDAD DE BOLSA, SA
Y
MERVAL
None
C1
RAYMOND JAMES GLOBAL SECURITIES, LTD.
Y
BRITISH VIRGIN ISLANDS FINANCIAL SERVICES COMMISSION
None
D8
RAYMOND JAMES LTD. (CANADA)
Y
IIROC
None
Z4
RAYMOND JAMES TRUST COMPANY
Y
COMPTROLLER OF THE CURRENCY (OCC)
24771
EAGLE FUND DISTRIBUTORS, INC.
Y
SEC
139749
EAGLE FUND SERVICES, INC.
Y
SEC
None
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.
Y
SEC
149018
RAYMOND JAMES EURO EQUITIES SAS
Y
FRENCH PRUDENTIAL SUPERVISORY AUTHORITY AND AUTHORITY OF FINANCIAL MARKETS
None
I0
MORGAN KEEGAN & COMPANY, LLC.
Y
SEC
4161
MK HOLDING
N
RAYMOND JAMES INSURANCE GROUP, INC.
Y
SEC
8-65393
RAYMOND JAMES FINANCIAL, INC.
Y
SEC
Unknown
RAYMOND JAMES BANK N.A.
Y
OCC
None
RAYMOND JAMES FINANCIAL INTERNATIONAL, LTD. (UK)
Y
FINANCIAL CONDUCT AUTHORITY (FCA)
188244
X0
RAYMOND JAMES INVESTMENT SERVICES, LTD.
Y
FINANCIAL CONDUCT AUTHORITY (FCA)
194713
X0
September
FL
02-19-1969
N
5480
127
127
29
0
100
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Guaranteed IC
Advice Use Of MD
Brokerage Of MEI
Y
Y
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
12
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
MARK UTKOV
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
PETER REECE KLYCE
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
WENDY ALISON HORN
RAYMOND JAMES & ASSOCIATES, INC.
Y
N
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
THOMPSON FORD
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GEOFFREY DEAN WATERS
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
THOMAS VERNON ORR, JR.
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
DAVID STANLEY MYERS
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
DONALD JERRY HUGHES
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
TONY MATHON PARKER, JR.
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
JAMES S BREITMAN
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
CLAY HUTCHINSON YOUNG
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
ROBERT CAMPBELL FARMER
RAYMOND JAMES & ASSOCIATES, INC.
Y
Y
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
RAYMOND JAMES FINANCIAL INC
0000720005
Schedule A
N
N
N
N
Y
Y
N
Y
Y
Y
Y
N
Y
Y
Y
Y
N
N
N
Y
N
Y
N
Y
N
N
RAYMOND JAMES FINANCIAL, INC.
Y
59-1517485
HOLDING COMPANY
01-01-1980
E
Y
THOMAS
ALAN
JAMES
DIRECTOR / CHAIRMAN OF THE BOARD
01-01-1980
NA
Y
000257119
WILLIAM
DENNIS
ZANK
CHIEF EXECUTIVE OFFICER / DIRECTOR
05-01-2004
NA
Y
000871971
PAUL
LOIS
MATECKI
CHIEF LEGAL OFFICER / SECRETARY
06-01-1989
NA
N
001173122
RICHARD
BONAFIELD
FRANZ II
CHIEF FINANCIAL OFFICER / TREASURER
01-01-2004
NA
Y
001402348
JEFFREY
PAUL
JULIEN
DIRECTOR
01-01-2004
NA
Y
001453432
THOMAS
ROBERT
TREMAINE
EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER
05-01-2004
NA
Y
001524109
ROBERT
CHRISTOPHER
ECKARDT
RJA CHIEF COMPLIANCE OFFICER
07-01-2004
NA
N
002690603
EFSTRATIOS
MICHAEL
SERBANOS
CHIEF COMPLIANCE OFFICER
10-01-2011
NA
Y
002267667
TASHTEGO
SPRING
ELWYN
PRESIDENT - PRIVATE CLIENT GROUP
01-01-2012
NA
Y
002319098
Add
RAYMOND JAMES FINANCIAL, INC.
Y
59-1517485
HOLDING COMPANY
01-01-1980
E
Y
Add
THOMAS
ALAN
JAMES
DIRECTOR / CHAIRMAN OF THE BOARD
01-01-1980
NA
Y
000257119
Add
WILLIAM
DENNIS
ZANK
CHIEF EXECUTIVE OFFICER / DIRECTOR
05-01-2004
NA
Y
000871971
Add
PAUL
LOIS
MATECKI
CHIEF LEGAL OFFICER / SECRETARY
06-01-1989
NA
N
001173122
Add
RICHARD
BONAFIELD
FRANZ II
CHIEF FINANCIAL OFFICER / TREASURER
01-01-2004
NA
Y
001402348
Add
JEFFREY
PAUL
JULIEN
DIRECTOR
01-01-2004
NA
Y
001453432
Add
THOMAS
ROBERT
TREMAINE
EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER
05-01-2004
NA
Y
001524109
Add
ROBERT
CHRISTOPHER
ECKARDT
RJA CHIEF COMPLIANCE OFFICER
07-01-2004
NA
N
002690603
Add
EFSTRATIOS
MICHAEL
SERBANOS
CHIEF COMPLIANCE OFFICER
10-01-2011
NA
Y
002267667
Add
TASHTEGO
SPRING
ELWYN
PRESIDENT - PRIVATE CLIENT GROUP
01-01-2012
NA
Y
002319098
9-E2
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES (USA) LTD.
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RAYMOND JAMES (USA) LTD.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
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ROBERT THOMAS SECURITIES, INC.
N
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UNKNOWN
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LYNN
POUNDS
PIPPENGER
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FLETCHER
SHUCK
III
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FLETCHER
SHUCK
III
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ROBERT FLETCHER SHUCK III
000422862
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
Y
008-17983
RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
Y
008-17983
RAYMOND JAMES FINANCIAL SERVICES, INC.
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RAYMOND JAMES FINANCIAL SERVICES, INC.
Y
008-17983
RAYMOND JAMES FINANCIAL SERVICES, INC.
000006694
00000
1
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RAYMOND JAMES & ASSOCIATES, INC.
000000705
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MORGAN KEEGAN & COMPANY, LLC.
Y
008-15001
MORGAN KEEGAN & COMPANY, LLC.
000004161
1465983
E. MICHAEL SERBANOS
EFSTRATIOS MICHAEL SERBANOS
SVP, CHIEF COMPLIANCE OFFICER - RJA
03-23-2015
002267661
N
N
N
N
N
Y
Y
Y
Y
N
N
Y
Y
N
N
N
N
Y
N
N