RAYMOND JAMES & ASSOCIATES, INC.
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RAYMOND JAMES & ASSOCIATES, INC.
(CRD# 705)
is an SEC-Registered Investment Advisor (RIA), headquartered in
St Petersburg, FL.
The SEC approved the firm to operate as an RIA in
Dec 1974.
In
Dec 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$176.1 Billion,
with discretion over
77%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
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RAYMOND JAMES & ASSOCIATES, INC.
also reported in
Dec 2018
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14205
employees,
with
4329
performing advisory functions.
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A total of 465 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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RAYMOND JAMES & ASSOCIATES, INC. has one or more disclosure events currently on file with the SEC.
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RAYMOND JAMES & ASSOCIATES, INC. has Notice Filings with the following State Securities Authorities: <
AK-Dec 1985, AL-May 1991, AR-Jan 1984, AZ-May 2005, CA-Jul 1997
, CO-Jan 1999, CT-Feb 1998, DC-Jan 1994, DE-Jun 2002, FL-Jul 1983
, GA-Mar 1998, HI-Apr 1991, IA-Jan 1999, ID-Jan 1985, IL-Apr 1999
, IN-Oct 1984, KS-Sep 1983, KY-Jun 2006, LA-Oct 2001, MA-Sep 2013
, MD-May 1992, ME-Jun 1994, MI-Dec 1999, MN-Oct 1984, MO-Sep 1987
, MS-Feb 1998, MT-Feb 1998, NC-May 2001, ND-Feb 1994, NE-Mar 1999
, NH-May 2001, NJ-Jan 2003, NM-Mar 1984, NV-Feb 1998, NY-Jan 1994
, OH-Oct 1999, OK-Jan 1998, OR-Sep 2013, PA-Sep 2013, PR-Dec 1984
, RI-Jan 1997, SC-Sep 2003, SD-Jan 1994, TN-May 2000, TX-Aug 1983
, UT-Nov 1993, VA-Jun 1994, VI-Apr 2005, VT-Jan 1995, WA-Apr 1987
, WI-Oct 1993, WV-Oct 1993
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
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for errors or omissions. Please note
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