SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER- RJA

0000724743-16-000223.txt : 20170119 0000724743-16-000223.hdr.sgml : 20170119 20170119172316 ACCESSION NUMBER: 0000724743-16-000223 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161230 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: 17536692 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-4719 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 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.lassandro@raymondjames.com clarissa.kerr@raymondjames.com 09-30-2016 Y RAYMOND JAMES & ASSOCIATES, INC. 000000705 59-1237041 866-00139-00 867-01336 008-10999 000000705 801-10418 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 NASDAQ OMX PHLX 705 NASDAQ STOCK EXCHANGE (NQX) 705 NYSE ARCA, INC. 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 ONE BURTON HILLS BLVD., #225 NASHVILLE TN 37215 615-665-6929 615-665-6931 Add 951 EAST BYRD STREET RICHMOND VA 23219 804-225-1150 Add 3050 PEACHTREE ROAD ATLANTA GA 30305 404-231-5033 404-231-5228 N 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 raymondjames.com JOHN MICHAEL IVAN SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER- RJA

880 CARILLON PARKWAY ST. PETERSBURG FL 33716

727-567-1000 727-567-5609 john.ivan@raymondjames.com CLARISSA NICHELLE KERR SUPERVISOR, REGISTRATIONS

1100 RIDGEWAY LOOP ROAD, #550 5TH FLOOR MEMPHIS TN 38120

901-680-8474 855-198-3744 clarissa.kerr@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 FINANCIAL 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 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 COUGAR GLOBAL INVESTMENTS LTD Y ONTARIO SECURITIES COMMISSION 109439 Z4 CLARIVEST ASSET MANAGEMENT LLC Y SEC 139785 CARILLON TOWER ADVISERS, INC. Y FINRA 174904 September FL 02-19-1969 N 6444 88 88 11 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 Advice On Selection Brokerage Of MEI Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser 4 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 WENDY ALISON HORN RAYMOND JAMES & ASSOCIATES, INC. Y N N Delete 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 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 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 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 RIA CHIEF COMPLIANCE OFFICER 07-01-2004 NA N 002690603 TASHTEGO SPRING ELWYN PRESIDENT - PRIVATE CLIENT GROUP 01-01-2012 NA Y 002319098 JOHN MICHAEL IVAN SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER-RJA 01-19-2016 NA Y 001292150 JONATHAN NMN SANTELLI CHIEF LEGAL OFFICER / SECRETARY 05-01-2016 NA N 006306997 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 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 Amend ROBERT CHRISTOPHER ECKARDT RIA CHIEF COMPLIANCE OFFICER 07-01-2004 NA N 002690603 Add TASHTEGO SPRING ELWYN PRESIDENT - PRIVATE CLIENT GROUP 01-01-2012 NA Y 002319098 Add JOHN MICHAEL IVAN SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER-RJA 01-19-2016 NA Y 001292150 Add JONATHAN NMN SANTELLI CHIEF LEGAL OFFICER / SECRETARY 05-01-2016 NA N 006306997 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 000000705 1683512 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 000000705 1676515 9-G RAYMOND JAMES & ASSOCIATES, INC. 000000705 1667255 9-E2 9-E3 RAYMOND JAMES & ASSOCIATES, INC. 000000705 1656050 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 000000705 1650419 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 000000705 1649357 1 9-D1 RAYMOND JAMES & ASSOCIATES, INC. 000000705 1629743 RAYMOND JAMES FINANCIAL SERVICES, INC. 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