← Tributary

RAYMOND JAMES (USA) LTD

VANCOUVER, Canada · CRD 25853 · IAPD ↗ · rjlu.com · 877-570-7558

$1.99BRegulatory AUM
145Advisory reps
175Employees
0Clients
11-25Planning clients
0Private funds
36States
6Disclosures
foreignSegment
ApprovedSEC status

Filing changes

21
October 2026 — RAYMOND JAMES (USA) LTD notice-filed in SC, UT, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
19
July 2026 — RAYMOND JAMES (USA) LTD notice-filed in DC, IA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
25
March 2026 — RAYMOND JAMES (USA) LTD's Item 11 disclosure-reporting entries rose by 3 (3 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
January 2026 — RAYMOND JAMES (USA) LTD added office(s): 65 -> 76 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
35
January 2026 — RAYMOND JAMES (USA) LTD reported RAUM up 29% ($1.54B -> $1.99B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
January 2026 — RAYMOND JAMES (USA) LTD grew from 125 to 145 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
19
February 2025 — RAYMOND JAMES (USA) LTD notice-filed in AL, MT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
21
January 2025 — RAYMOND JAMES (USA) LTD notice-filed in IN, ME, RI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
25
January 2025 — RAYMOND JAMES (USA) LTD added office(s): 60 -> 65 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
January 2025 — RAYMOND JAMES (USA) LTD grew from 115 to 125 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.