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