RAYMOND JAMES & ASSOCIATES, INC. of ST. PETERSBURG, FL is an SEC-registered investment adviser (CRD 705). Regulatory assets under management: $501.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| Jonathan Santelli | GENERAL COUNSEL / SECRETARY | — |
| Tashtego Spring Elwyn | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | — |
| Shawn Joseph Barko | CHIEF COMPLIANCE OFFICER | — |
| James Bunn | DIRECTOR | — |
| Scott Curtis | DIRECTOR | — |
| James Philip Sickling | DIRECTOR | — |
| Philip Roger Martin | RIA CHIEF COMPLIANCE OFFICER | — |
| Keith G Rust | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | — |
| Allyssa Nicole Deleon | PRINCIPAL FINANCIAL OFFICER / FINOP | — |
| Richard Eugene Konefal | DIRECTOR | — |
| James Edward Bunn | DIRECTOR | — |
| Vincent John Campagnoli | CHIEF INFORMATION OFFICER | — |
| Kim Rachelle Jenson | CHIEF OPERATING OFFICER | — |
| Suzanne Elizabeth Auletta | DIRECTOR | — |
| Marshall Farrokh Ollia | PRINCIPAL FINANCIAL OFFICER / FINOP, CHIEF FINANCIAL OFFICER, DIRECTOR, TREASURER | — |
| JAMES THOMAS ALAN | CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD; DIRECTOR/CHAIRMAN OF THE BOARD | — |
| MATECKI PAUL LOUIS | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER / SECRETARY | — |
| TREMAINE THOMAS ROBERT | EXECUTIVE VICE PRESIDENT, DIRECTOR; EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER; EXECUTIVE VICE PRESIDENT, DIRECTOR,CHIEF OPERATIONS OFFICER (+3 more) | — |
| FRANZ RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/TREASURER | — |
| HELCK CHESTER BEE | DIRECTOR | — |
| TUORTO JOSEPH PAUL | CHIEF COMPLIANCE OFFICER/SROP/SDROP | — |
| SHUCK ROBERT FLETCHER III | EXECUTIVE VICE PRESIDENT | — |
| PIPPENGER LYNN POUNDS | SR VICE PRESIDENT/DIRECTOR/SECRETARY; SR VICE PRESIDENT/SECRETARY | — |
| ZANK DENNIS WILLIAM | CHIEF EXECUTIVE OFFICER/DIRECTOR; EXECUTIVE VICE PRESIDENT/PRINCIPAL OPERATIONS OFFICER/FINANCIAL OFFICER; PRESIDENT/CHIEF OPERATING OFFICER (+4 more) | — |
| GODBOLD FRANCIS STANLEY | EXECUTIVE VICE PRESIDENT | — |
Showing 10 of 73 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-29 | regulatory | THE COMMONWEALTH OF VIRGINIA STATE CORPORATION COMMISSION (COMMISSION) ALLEGED RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. (COLLECTIVELY, THE RESPONDENTS) CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMER… | Final | $75K |
| 2024-12-17 | regulatory | THE STATE ALLEGED RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |
| 2024-08-29 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRMS CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY HAVE FAILED TO REASONABLY SUPERVISE THE FIRMS' REPORTING, AND TIMELY REPORTING, OF CUSTOMER COMPLAINTS VIA FINRA RULE 4530 FILINGS AND AMENDMENTS TO REGISTERED REPRESENTATIVES' FORM… | Final | $525K |
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLED ADMINISTRATIVE ORDER IN CONNECTION WITH ITS OFF-CHANNEL COMMUNICATIONS INITIATIVE, FINDING THAT RAYMOND JAMES & ASSOCIATES, INC. ("RAYMOND JAMES") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO RAYMOND JAMES'… | Final | $50.0M |
| 2024-06-27 | regulatory | THE STATE ALLEGED RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |
| 2024-05-31 | regulatory | THE STATE ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |
| 2024-03-29 | regulatory | RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |
| 2024-03-06 | regulatory | RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |
| 2024-02-28 | regulatory | RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |
| 2024-02-24 | regulatory | RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. | Final | $75K |