SVP, CHIEF COMPLIANCE OFFICER

0000724743-23-000056.txt : 20231222 0000724743-23-000056.hdr.sgml : 20231222 20231222133141 ACCESSION NUMBER: 0000724743-23-000056 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231222 DATE AS OF CHANGE: 20231222 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RAYMOND JAMES & ASSOCIATES, INC. CENTRAL INDEX KEY: 0000724743 ORGANIZATION NAME: 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: 231508807 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-A 1 primary_doc.xml MA-A 0000724743 XXXXXXXX Alena Barlow 727-567-2085 alena.barlow@raymondjames.com elaine.battagliola@raymondjames.com Alena.Barlow@RaymondJames.com Casey.Bradford@RaymondJames.com clarissa.kerr@raymondjames.com tracey.czopek@raymondjames.com 09-30-2023 Y RAYMOND JAMES & ASSOCIATES, INC. 705 59-1237041 866-00139-00 867-01336 008-10999 705 801-10418 705 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-AMER (FORMERLY KNOW AS NYSE-MKT) 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 MARIANA ISLANDS (CNMI) - BROKER DEALER NONE MARIANA ISLANDS (CNMI) - INVESTMENT ADVISOR NONE IEX 705 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 727-567-1000 Add 1100 RIDGEWAY LOOP ROAD MEMPHIS TN 38120 901-524-4100 Add 535 Madison Avenue 10th Floor New York NY 10022 212-508-7590 Add ONE BURTON HILLS BLVD., #225 NASHVILLE TN 37215 615-665-6929 615-665-6931 Add 5820 PATTERSON AVENUE SUITE 100 RICHMOND VA 23226 804-225-1150 Add 3050 PEACHTREE ROAD ATLANTA GA 30305 404-231-5033 404-231-5228 N raymondjames.com SHAWN JOSEPH BARKO SVP, CHIEF COMPLIANCE OFFICER - PCG

880 CARILLON PARKWAY ST. PETERSBURG FL 33716

727-567-1000 727-567-5609 shawn.barko@raymondjames.com Alena Joy Barlow Director, REGISTRATIONS

880 Carillon Pkwy St. Petersburg FL 33716

727-567-2085 alena.barlow@raymondjames.com Add ISRAEL SECURITIES AUTHORITY NOT APPLICABLE L3 RAYMOND JAMES FINANCIAL SERVICES, INC. Y SEC 6694 EAGLE ASSET MANAGEMENT, INC. Y SEC 110653 RAYMOND JAMES (USA) LTD. Y SEC 25853 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 CARILLON FUND DISTRIBUTORS, INC. (FORMERLY KNOWN AS EAGLE FUND DISTRIBUTORS, INC) Y SEC 139749 CARILLON 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 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 SCOUT TRADING, LLC Y SEC 8-68420 SUMRIDGE PARTNERS, LLC Y SEC 8-68454 CHARTWELL INVESTMENTS Y SEC 802-73238 CHARTWELL TSC SECURITIES CORP. Y SEC 8-69502 TRISTATE CAPITAL BANK Y SEC unknown September FL 02-19-1969 N 9340 82 82 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 0 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 N N Y N Y N N RAYMOND JAMES FINANCIAL, INC. Y 59-1517485 HOLDING COMPANY 01-01-1980 E Y TASHTEGO SPRING ELWYN PRESIDENT & CHIEF EXECUTIVE OFFICER 06-28-2018 NA Y 2319098 JONATHAN NMN SANTELLI CHIEF LEGAL OFFICER / SECRETARY 05-01-2016 NA N 6306997 MARSHALL FARROKH OLLIA PRINCIPAL FINANCIAL OFFICER / FINOP 04-01-2018 NA Y 3195972 PAUL MARONE SHOUKRY DIRECTOR'; TREASURER 04-01-2018 NA Y 5804809 SHAWN JOSEPH BARKO CHIEF COMPLIANCE OFFICER 12-01-2017 NA Y 2690394 VINCENT JOHN CAMPAGNOLI CHIEF INFORMATION OFFICER 06-01-2016 NA N 1421076 JAMES EDWARD BUNN DIRECTOR 03-01-2019 NA Y 3130320 SCOTT NMN CURTIS DIRECTOR 03-01-2019 NA Y 1707935 TAREK NMN HELAL DIRECTOR 03-01-2019 NA Y 4240999 JAMES PHILIP SICKLING DIRECTOR 03-01-2019 NA Y 1240810 KIM RACHELLE JENSON CHIEF OPERATING OFFICER 07-01-2017 NA Y 2155447 Suzanne Elizabeth Auletta Director 08-03-2021 NA Y 1418817 Keith Gregory Rust Principal Operations Officer 10-01-2021 NA Y 5915636 RAYMOND JAMES FINANCIAL, INC. Y 59-1517485 HOLDING COMPANY 01-01-1980 E Y TASHTEGO SPRING ELWYN PRESIDENT & CHIEF EXECUTIVE OFFICER 06-28-2018 NA Y 2319098 JONATHAN NMN SANTELLI CHIEF LEGAL OFFICER / SECRETARY 05-01-2016 NA N 6306997 MARSHALL FARROKH OLLIA PRINCIPAL FINANCIAL OFFICER / FINOP 04-01-2018 NA Y 3195972 PAUL MARONE SHOUKRY DIRECTOR'; TREASURER 04-01-2018 NA Y 5804809 SHAWN JOSEPH BARKO CHIEF COMPLIANCE OFFICER 12-01-2017 NA Y 2690394 VINCENT JOHN CAMPAGNOLI CHIEF INFORMATION OFFICER 06-01-2016 NA N 1421076 JAMES EDWARD BUNN DIRECTOR 03-01-2019 NA Y 3130320 SCOTT NMN CURTIS DIRECTOR 03-01-2019 NA Y 1707935 TAREK NMN HELAL DIRECTOR 03-01-2019 NA Y 4240999 JAMES PHILIP SICKLING DIRECTOR 03-01-2019 NA Y 1240810 KIM RACHELLE JENSON CHIEF OPERATING OFFICER 07-01-2017 NA Y 2155447 Suzanne Elizabeth Auletta Director 08-03-2021 NA Y 1418817 Keith Gregory Rust Principal Operations Officer 10-01-2021 NA Y 5915636 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 705 1683512 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 705 1676515 9-G RAYMOND JAMES & ASSOCIATES, INC. 705 1667255 9-E2 9-E3 RAYMOND JAMES & ASSOCIATES, INC. 705 1656050 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 705 1650419 9-E2 RAYMOND JAMES & ASSOCIATES, INC. 705 1649357 1 9-D1 RAYMOND JAMES & ASSOCIATES, INC. 705 1629743 RAYMOND JAMES FINANCIAL SERVICES, INC. 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