Full text of RAYMOND JAMES & ASSOCIATES, INC.'s X-17A-5 filed 2023-11-21 (period 2023-09-30). 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, 2023 {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 | | 10/01/2022<br>MM/DD/YY | AND ENDING | | 09/30/2023<br>MM/DD/YY | | | |----------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------|--------------------------------------------------------|---------------------------------------|---------|------------------------|--|--| | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: | | Raymond James & Associates, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☒ Broker-dealer<br>☐ Security-based<br>☐ Check<br>here<br>if<br>respondent | swap<br>is<br>also<br>an<br>OTC | dealer<br>☐ Major<br>derivatives<br>dealer | security-based<br>swap<br>participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. box no.) | | | | | | | | | 880 Carillon Parkway | | | | | | | | | | | (No. and Street) | | | | | | | Saint Petersburg | Florida<br>33716 | | | | | | | | (City) | (State)<br>(Zip Code) | | | | | | | | PERSON TO CONTACT IN REGARD TO THIS FILING | | | | | | | | | Marshall Ollia | 727-567-1000<br>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)<br>(PCAOB Registration Number, if applicable) | | | | | | | | | | | FOR…Read the full text as markdown