Full text of RAYMOND JAMES & ASSOCIATES, INC.'s X-17A-5 filed 2022-11-22 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ *Raymond James & Associates, Inc.* # **STATEMENT OF FINANCIAL CONDITION** (Audited) September 30, 2022 {1}------------------------------------------------ # **UNITED STATES** OMB APPROVAL **SECURITIES AND EXCHANGE COMMISSION** OMB Number: 3235-0123 **Washington, D.C. 20549** Expires: October 31, 2023 **ANNUAL REPORTS** hours per response.. . . . 12.00 **FORM X-17A-5** | Estimated average burden | | | | | | | |--------------------------|--|--|--|--|--|--| | | | | | | | | | PART III | SEC FILE NUMBER | |----------|-----------------| | | 8-10999 | **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 10/01/2021 AND ENDING 09/30/2022 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **Raymond James & Associates, Inc.** TYPE OF REGISTRANT (check all applicable boxes): ☒ Broker-dealer ☐ Security-based swap dealer ☐ Major security-based swap participant ☐ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. box no.) **880 Carillon Parkway** (No. and Street) **Saint Petersburg Florida 33716** (City) (State) (Zip Code) PERSON TO CONTACT IN REGARD TO THIS FILING **Marshall Ollia 727-567-1000 marshall.ollia@raymondjames.com** (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* **KPMG LLP** (Name - *if individual, state last, first, middle name*) **100 North Tampa Street Suite 1700 Tampa Florida 33602** (Address) (City) (State) (Zip Code) **10/20/2003 185** (Date of Registration with PCAOB, if applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \*Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.** {2}------------------------------------------------ - - - - - - - - - - - - - - - - - - - - - - - - - - {3}------------------------------------------------ # **RAYMOND JAMES & ASSOCIATES, INC. (a wholly owned subsidia…Read the full text as markdown