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RAYMOND JAMES & ASSOCIATES, INC.

ST. PETERSBURG, FL · CRD 705 · IAPD ↗ · alexbrown.com · 727-567-1000

$500.96BRegulatory AUM
5683Advisory reps
16780Employees
2231Clients
More than 500Planning clients
0Private funds
53States
161Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
January 2026 — RAYMOND JAMES & ASSOCIATES, INC. added office(s): 635 -> 817 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
January 2026 — RAYMOND JAMES & ASSOCIATES, INC. reports More than 500 financial-planning clients, up from 251-500.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
January 2026 — RAYMOND JAMES & ASSOCIATES, INC. grew from 5537 to 5683 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 2 (170 -> 172).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2025 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 2 (173 -> 175).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
85
January 2025 — RAYMOND JAMES & ASSOCIATES, INC. grew from 5254 to 5537 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
October 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 4 (177 -> 181).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
September 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 2 (175 -> 177).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 2 (173 -> 175).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 6 (167 -> 173).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 6 (161 -> 167).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
March 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 10 (151 -> 161).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2024 — RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 20 (131 -> 151).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

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