0000724743-21-000008.txt : 20210323 0000724743-21-000008.hdr.sgml : 20210323 20210323163905 ACCESSION NUMBER: 0000724743-21-000008 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 LI,YI,NMN, FILED AS OF DATE: 20210323 DATE AS OF CHANGE: 20210323 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 SEC ACT: 1934 Act SEC FILE NUMBER: 868-04449 FILM NUMBER: 21765259 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-8946 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-I 1 primary_doc.xml MA-I 0000724743 XXXXXXXX BETH BATES 9017662156 BETH.BATES@RAYMONDJAMES.COM BETH.BATES@RAYMONDJAMES.COM LORI.MAHONEY@RAYMONDJAMES.COM TRISHA.CRAM@RAYMONDJAMES.COM N N YI NMN LI 5515330 N 1 0000724743 RAYMOND JAMES & ASSOCIATES, INC. 07-23-2020 N 867-01336 LOCATED 07-23-2020 SUPERVISED 07-23-2020 1100 Ridgeway Loop Road MEMPHIS TN 38120 KATHY YI LI 07-2020 RAYMOND JAMES MEMPHIS TN 38120 Y Y REGISTERED ASSOCIATE 09-2019 07-2020 STIFEL DENVER CO 80202 Y Y DIRECTOR 01-2014 09-2019 GEORGE K BAUM KANSAS CITY MO 00000 Y Y MUNICIPAL INVESTMENT BANKER-SVP 11-1998 01-2014 CSG ADVISORS ALPHARETTA GA 00000 Y Y DIRECTOR OF QUANTITATIVE SERVICES 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 N 03-23-2021 TRISHA CRAM VP - COMPLIANCE