# EDGAR Filing Document

**Accession Number:** 0001182775
**File Stem:** 0001182775-23-000002
**Filing Date:** 2023-2
**Character Count:** 7477
**Document Hash:** bf05b8e878c2a5b135f802bb9e90f963
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001182775-23-000002.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001182775-23-000002

**CONFORMED SUBMISSION TYPE**: SC 13G/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RAYMOND JAMES FINANCIAL INC
- **CENTRAL INDEX KEY:** 0000720005
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **IRS NUMBER:** 591517485
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-37213
- **FILM NUMBER:** 23620112

**BUSINESS ADDRESS:**
- **STREET 1:** 880 CARILLON PKWY
- **CITY:** ST PETERSBURG
- **STATE:** FL
- **ZIP:** 33716
- **BUSINESS PHONE:** 727-567-1000

**MAIL ADDRESS:**
- **STREET 1:** 880 CARILLON PKWY
- **CITY:** ST. PETERSBURG
- **STATE:** FL
- **ZIP:** 33716

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RJ FINANCIAL CORP/FL
- **DATE OF NAME CHANGE:** 19870303
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** JAMES THOMAS A
- **CENTRAL INDEX KEY:** 0001182775

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A

**MAIL ADDRESS:**
- **STREET 1:** 880 CARILLON PARKWAY
- **CITY:** ST. PETERSBURG
- **STATE:** FL
- **ZIP:** 33772

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**SCHEDULE 13G**

**Under the Securities Exchange Act of 1934**

**(Amendment No. 4)\***

**RAYMOND JAMES FINANCIAL, INC.**

(Name of Issuer)

**Common Stock**

**$0.01 Par Value**

(Title of Class of Securities)

**754730109**

(CUSIP Number)

**December 31, 2022**

(Date of Event Which Requires Filing of this Statement)

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| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<br>Check the appropriate box to designate the rule pursuant to which this Schedule is filed:<br>☐ Rule 13d-1(b)<br> ☐ Rule 13d-1(c)<br>⌧ Rule 13d-1(d) |
| \*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
| The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). |

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**CUSIP No.: 754730109**

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|:---|:---|:---|
| **(1)** | NAMES OF REPORTING PERSONS | NAMES OF REPORTING PERSONS |
|  | &nbsp;&nbsp;&nbsp;**Thomas A. James** | &nbsp;&nbsp;&nbsp;**Thomas A. James** |
| **(2)** | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)<br>(a) ☐<br>(b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)<br>(a) ☐<br>(b) ☐ |
| **(3)** | SEC USE ONLY | SEC USE ONLY |
| **(4)** | CITIZENSHIP OR PLACE OF ORGANIZATION | CITIZENSHIP OR PLACE OF ORGANIZATION |
|  | &nbsp;&nbsp;&nbsp;**United States** | &nbsp;&nbsp;&nbsp;**United States** |
| NUMBER OF<br>SHARES<br>BENEFICIALLY<br>OWNED BY<br>EACH<br>REPORTING<br>PERSON WITH: | **(5)** | &nbsp;&nbsp;&nbsp;SOLE VOTING POWER<br>**19,155,903** |
| NUMBER OF<br>SHARES<br>BENEFICIALLY<br>OWNED BY<br>EACH<br>REPORTING<br>PERSON WITH: | **(6)** | &nbsp;&nbsp;&nbsp;SHARED VOTING POWER<br>**174,880 (1)** |
| NUMBER OF<br>SHARES<br>BENEFICIALLY<br>OWNED BY<br>EACH<br>REPORTING<br>PERSON WITH: | **(7)** | &nbsp;&nbsp;&nbsp;SOLE DISPOSITIVE POWER<br>**19,155,903** |
| NUMBER OF<br>SHARES<br>BENEFICIALLY<br>OWNED BY<br>EACH<br>REPORTING<br>PERSON WITH: | **(8)** | &nbsp;&nbsp;&nbsp;SHARED DISPOSITIVE POWER<br>**174,880 (1)** |
| **(9)** | &nbsp;&nbsp;&nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>**19,330,783 (1)** | &nbsp;&nbsp;&nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>**19,330,783 (1)** |
| **(10)** | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ |
| **(11)** | &nbsp;&nbsp;&nbsp;&nbsp;PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br>**9.0%** | &nbsp;&nbsp;&nbsp;&nbsp;PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br>**9.0%** |
| **(12)** | &nbsp;&nbsp;&nbsp;&nbsp;TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>**IN** | &nbsp;&nbsp;&nbsp;&nbsp;TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>**IN** |

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<u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</u> 

(1) Includes 162,730 shares of Common Stock owned by the spouse of the reporting person. The reporting person disclaims ownership of these shares.

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|:---|:---|
| **Item 1.** | |
| **Item 1(a)** | **Name of Issuer:** |
|  | Raymond James Financial, Inc. |
| **Item 1(b)** | **Address of Issuer's Principal Executive Offices:** |
|  | 880 Carillon Parkway<br>St. Petersburg, Florida 33716 |
| **Item 2.** |  |
| **Item 2(a)** | **Name of Person Filing:** |
|  | Thomas A. James |
| **Item 2(b)** | **Address of Principal Business Office or, if None, Residence:** |
|  | Thomas A. James<br>c/o Raymond James Financial, Inc.<br>880 Carillon Parkway<br>St. Petersburg, Florida 33716 |
| **Item 2(c)** | **Citizenship:** |
|  | United States |
| **Item 2(d)** | **Title of Class of Securities:** |
|  | Common Stock, $0.01 Par Value |
| **Item 2(e)** | **CUSIP No.:** |
|  | 754730109 |
| **Item 3.** | **If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:** |
|  | Not applicable. |
| **Item 4.** | **Ownership** |
|  | The information set forth in rows 5 through 11 of the cover page hereto is incorporated herein by reference. |

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| **Item 5.** | **Ownership of Five Percent or Less of a Class.** |
|  | Not applicable. |
| **Item 6.** | **Ownership of More than Five Percent on Behalf of Another Person.** |
|  | Not applicable. |
| **Item 7.** | **Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.** |
|  | Not applicable. |
| **Item 8.** | **Identification and Classification of Members of the Group.** |
|  | Not applicable. |
| **Item 9.** | **Notice of Dissolution of Group.** |
|  | Not applicable. |
| **Item 10.** | **Certifications.** |
|  | Not applicable. |

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**SIGNATURE**

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: February 13, 2023

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| /s/ Thomas A. James |
| Thomas A. James |

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