# EDGAR Filing Document

**Accession Number:** 0000724743
**File Stem:** 0000724743-25-000057
**Filing Date:** 2025-12
**Character Count:** 75016
**Document Hash:** b5e058b00ea8846829f29e54180c2c41
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000724743-25-000057.hdr.sgml**: 20251217

**ACCESSION NUMBER**: 0000724743-25-000057

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251215

**DATE AS OF CHANGE**: 20251217

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RAYMOND JAMES & ASSOCIATES, INC.
- **CENTRAL INDEX KEY:** 0000724743

**ORGANIZATION NAME:**
- **EIN:** 591237041
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01336
- **FILM NUMBER:** 251579628

**BUSINESS ADDRESS:**
- **STREET 1:** 880 CARILLON PARKWAY
- **CITY:** ST. PETERSBURG
- **STATE:** FL
- **ZIP:** 33716
- **BUSINESS PHONE:** 727-567-8946

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

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RAYMOND JAMES & ASSOCIATES INC                          /BD
- **DATE OF NAME CHANGE:** 20020124

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RAYMOND JAMES & ASSOCIATES INC                           /BD
- **DATE OF NAME CHANGE:** 19990923

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000724743

**Filer CCC:** XXXXXXXX

**Contact Name:** Alena Barlow

**Contact Phone:** 727-567-2085

**Contact Email:** Alena.Barlow@RaymondJames.com

**Notification Emails:** Alena.Barlow@RaymondJames.com, regulatorydisclosures@raymondjames.com, Elaine.Battagliola@RaymondJames.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** RAYMOND JAMES & ASSOCIATES, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 705

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 59-1237041

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00139-00

- **Municipal Advisor:** SEC File No: 867-01336

- **Broker-Dealer:** SEC File No: 008-10999, CRD No: 705

- **SEC-Registered Investment Adviser:** SEC File No: 801-10418, CRD No: 705

**Additional Registrations:**

- **NATIONAL FUTURES ASSOCIATION:** 0087425

- **CHICAGO STOCK EXCHANGE (CHX):** 705

- **FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA):** 705

- **INTERNATIONAL SECURITIES EXCHANGE (ISE):** 705

- **NASDAQ OMX PHLX:** 705

- **NASDAQ STOCK EXCHANGE (NQX):** 705

- **NYSE ARCA, INC.:** 705

- **NYSE-AMER (FORMERLY KNOW AS NYSE-MKT):** 705

- **NEW YORK STOCK EXCHANGE (NYSE):** 705

- **ALABAMA:** 705

- **ALASKA:** 705

- **GUAM (BROKER DEALER):** 10054

- **GUAM (INVESTMENT ADVISOR):** 0029

- **ARKANSAS:** 705

- **CALIFORNIA:** 705

- **COLORADO:** 705

- **CONNECTICUT:** 705

- **DELAWARE:** 705

- **DISTRICT OF COLUMBIA:** 705

- **FLORIDA:** 705

- **GEORGIA:** 705

- **HAWAII:** 705

- **IDAHO:** 705

- **ILLINOIS:** 705

- **INDIANA:** 705

- **IOWA:** 705

- **KANSAS:** 705

- **KENTUCKY:** 705

- **LOUISIANA:** 705

- **MAINE:** 705

- **MARYLAND:** 705

- **MASSACHUSETTS:** 705

- **MICHIGAN:** 705

- **MINNESOTA:** 705

- **MISSISSIPPI:** 705

- **MISSOURI:** 705

- **MONTANA:** 705

- **NEBRASKA:** 705

- **NEVADA:** 705

- **NEW HAMPSHIRE:** 705

- **NEW JERSEY:** 705

- **NEW MEXICO:** 705

- **NEW YORK:** 705

- **NORTH CAROLINA:** 705

- **NORTH DAKOTA:** 705

- **OHIO:** 705

- **OKLAHOMA:** 705

- **OREGON:** 705

- **PENNSYLVANIA:** 705

- **PUERTO RICO:** 705

- **RHODE ISLAND:** 705

- **SOUTH CAROLINA:** 705

- **SOUTH DAKOTA:** 705

- **TENNESSEE:** 705

- **TEXAS:** 705

- **UTAH:** 705

- **VERMONT:** 705

- **VIRGIN ISLANDS:** 705

- **VIRGINIA:** 705

- **WASHINGTON:** 705

- **WEST VIRGINIA:** 705

- **WISCONSIN:** 705

- **WYOMING:** 705

- **MARIANA ISLANDS (CNMI) - BROKER DEALER:** NONE

- **MARIANA ISLANDS (CNMI) - INVESTMENT ADVISOR:** NONE

- **IEX:** 705

**E. Principal Office and Place of Business:** 880 CARILLON PARKWAY, ST. PETERSBURG, FL, 33716

**Telephone Number:** 727-567-1000

**Additional Offices of Employment:**

- **Office #1 (Add):** 1100 RIDGEWAY LOOP ROAD, MEMPHIS, TN, 38120 | Phone: 901-524-4100

- **Office #2 (Add):** 535 Madison Avenue, 10th Floor, New York, NY, 10022 | Phone: 212-508-7590

- **Office #3 (Add):** ONE BURTON HILLS BLVD., #225, NASHVILLE, TN, 37215 | Phone: 615-665-6929

- **Office #4 (Add):** 5820 PATTERSON AVENUE, SUITE 100, RICHMOND, VA, 23226 | Phone: 804-225-1150

- **Office #5 (Add):** 3050 PEACHTREE ROAD, ATLANTA, GA, 30305 | Phone: 404-231-5033

**Mailing Address is Different from Principal Office:** No

**F. Website:** raymondjames.com

**G. Chief Compliance Officer (CCO):**

**Name:** SHAWN JOSEPH BARKO

**Titles:** SVP, CHIEF COMPLIANCE OFFICER - PCG

**Address:** 880 CARILLON PARKWAY, ST. PETERSBURG, FL, 33716

**Phone Number:** 727-567-1000

**Email:** shawn.barko@raymondjames.com

**H. Business Affiliates:**

- **Name:** RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** EAGLE ASSET MANAGEMENT, INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** RAYMOND JAMES (USA) LTD.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** RAYMOND JAMES GLOBAL SECURITIES, LTD.

  - **Issuing Agency:** BRITISH VIRGIN ISLANDS FINANCIAL SERVICES COMMISSION

  - **Jurisdiction:** D8

- **Name:** RAYMOND JAMES LTD. (CANADA)

  - **Issuing Agency:** IIROC

  - **Jurisdiction:** Z4

- **Name:** RAYMOND JAMES TRUST COMPANY

  - **Issuing Agency:** COMPTROLLER OF THE CURRENCY (OCC)

  - **Jurisdiction:** 

- **Name:** CARILLON FUND DISTRIBUTORS, INC. (FORMERLY KNOWN AS EAGLE FUND DISTRIBUTORS, INC)

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** CARILLON FUND SERVICES, INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** MK HOLDING

- **Name:** RAYMOND JAMES FINANCIAL, INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** RAYMOND JAMES BANK N.A.

  - **Issuing Agency:** OCC

  - **Jurisdiction:** 

- **Name:** RAYMOND JAMES FINANCIAL INTERNATIONAL, LTD. (UK)

  - **Issuing Agency:** FINANCIAL CONDUCT AUTHORITY (FCA)

  - **Jurisdiction:** X0

- **Name:** RAYMOND JAMES INVESTMENT SERVICES, LTD.

  - **Issuing Agency:** FINANCIAL CONDUCT AUTHORITY (FCA)

  - **Jurisdiction:** X0

- **Name:** COUGAR GLOBAL INVESTMENTS LTD

  - **Issuing Agency:** ONTARIO SECURITIES COMMISSION

  - **Jurisdiction:** Z4

- **Name:** CLARIVEST ASSET MANAGEMENT LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** CARILLON TOWER ADVISERS, INC.

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** SCOUT TRADING, LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** SUMRIDGE PARTNERS, LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** CHARTWELL INVESTMENTS

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** CHARTWELL TSC SECURITIES CORP.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** TRISTATE CAPITAL BANK

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** September

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** FL

**D. Date of Organization:** 02-19-1969

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 9872

**B. Municipal Advisory Activities - Employees:** 100

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 93

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 14

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 100

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** Yes

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** Yes

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                          | Title/Status                           | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY                        | 01-01-1980      | E - 75% or more   | Yes               | 59-1517485   |  |
| TASHTEGO SPRING ELWYN         | PRESIDENT & CHIEF EXECUTIVE OFFICER    | 06-28-2018      | NA - less than 5% | Yes               |  | 2319098      |
| JONATHAN NMN SANTELLI         | CHIEF LEGAL OFFICER / SECRETARY        | 05-01-2016      | NA - less than 5% | No                |  | 6306997      |
| SHAWN JOSEPH BARKO            | CHIEF COMPLIANCE OFFICER               | 12-01-2017      | NA - less than 5% | Yes               |  | 2690394      |
| VINCENT JOHN CAMPAGNOLI       | CHIEF INFORMATION OFFICER              | 06-01-2016      | NA - less than 5% | No                |  | 1421076      |
| JAMES EDWARD BUNN             | DIRECTOR                               | 03-01-2019      | NA - less than 5% | Yes               |  | 3130320      |
| SCOTT NMN CURTIS              | DIRECTOR                               | 03-01-2019      | NA - less than 5% | Yes               |  | 1707935      |
| JAMES PHILIP SICKLING         | DIRECTOR                               | 03-01-2019      | NA - less than 5% | Yes               |  | 1240810      |
| Keith Gregory Rust            | Principal Operations Officer, Director | 10-01-2021      | NA - less than 5% | Yes               |  | 5915636      |

### Schedule B: Indirect Owners

| Owning Entity                   | Name                 | Title/Status                      | Date Acquired   | Ownership Code            | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| Raymond James & Associates, Inc | Allyssa Nicole Delon | Principal Financial Officer/FINOP | 02-01-2025      | C - 25% but less than 50% | Yes               |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                   | Name                          | Title/Status                           | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY                        | 01-01-1980      | E - 75% or more           | Yes               | 59-1517485   |  |
|  | Direct      |  | TASHTEGO SPRING ELWYN         | PRESIDENT & CHIEF EXECUTIVE OFFICER    | 06-28-2018      | NA - less than 5%         | Yes               |  | 2319098      |
|  | Direct      |  | JONATHAN NMN SANTELLI         | CHIEF LEGAL OFFICER / SECRETARY        | 05-01-2016      | NA - less than 5%         | No                |  | 6306997      |
|  | Direct      |  | SHAWN JOSEPH BARKO            | CHIEF COMPLIANCE OFFICER               | 12-01-2017      | NA - less than 5%         | Yes               |  | 2690394      |
| Delete | Direct      |  | VINCENT JOHN CAMPAGNOLI       | CHIEF INFORMATION OFFICER              | 06-01-2016      | NA - less than 5%         | No                |  | 1421076      |
|  | Direct      |  | JAMES EDWARD BUNN             | DIRECTOR                               | 03-01-2019      | NA - less than 5%         | Yes               |  | 3130320      |
|  | Direct      |  | SCOTT NMN CURTIS              | DIRECTOR                               | 03-01-2019      | NA - less than 5%         | Yes               |  | 1707935      |
|  | Direct      |  | JAMES PHILIP SICKLING         | DIRECTOR                               | 03-01-2019      | NA - less than 5%         | Yes               |  | 1240810      |
|  | Direct      |  | Keith Gregory Rust            | Principal Operations Officer, Director | 10-01-2021      | NA - less than 5%         | Yes               |  | 5915636      |
|  | Indirect    | Raymond James & Associates, Inc | Allyssa Nicole Delon          | Principal Financial Officer/FINOP      | 02-01-2025      | C - 25% but less than 50% | Yes               |  | 6902665      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1683512

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1676515

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1667255

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1656050

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1650419

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1649357

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1629743

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1627692

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1629742

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1629340

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1629741

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1629341

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1626821

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1621952

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1621963

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1621679

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1621017

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1617069

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 16166921

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1614489

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1613931

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1614488

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1615007

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1614485

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1651006

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1608620

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1608512

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5, 9-D1, 9-D2, 9-D4, 9-E1)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1605093

  - **Associated Person:** —

  - **CRD Number:** 4161

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN KEEGAN & COMPANY, LLC.

  - **Disclosure Number:** 1605110

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1602774

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1602262

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1597587

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1597459

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1597586

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1597461

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1594867

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1595640

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1594866

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1594673

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1593352

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1593746

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1591778

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1592688

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1591777

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1590894

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1591776

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1590893

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1589608

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1590892

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1588794

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1588790

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1587231

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1588004

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1587230

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1588013

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1586775

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1587131

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1586766

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1587132

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1586763

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1584691

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1586761

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1584690

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1586760

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1583036

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1583285

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1582577

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1583284

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1580844

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1583273

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1580845

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1581098

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580773

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580599

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580590

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1580838

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580589

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1580839

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580588

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1580573

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580587

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1580572

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580586

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1578781

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580585

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1578685

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1580584

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1579904

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1577948

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1577142

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1577947

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1577941

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1573230

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1573278

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1573229

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1573277

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1569837

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1569860

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1493081

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1491906

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1443717

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 149018

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.

  - **Disclosure Number:** 1443321

**Regulatory DRP for: Applicant (Responding to Questions: 9-D5)**

  - **Associated Person:** —

  - **CRD Number:** 705

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

  - **Disclosure Number:** 1427700

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1420826

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1397139

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1359208

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1581100

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1347542

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 25853

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES (USA) LTD.

  - **Disclosure Number:** 1304708

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 866829

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1135075

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1276597

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1273156

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1260564

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1255116

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1244163

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1238490

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1219139

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1231698

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1340889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1231698

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1231988

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1281730

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1180776

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1135075

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1094242

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1090882

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1059792

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1039099

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1209728

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1011337

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 999375

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 735848

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 702000

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 661644

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1180776

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594371

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594368

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 567338

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594365

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594344

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594105

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594092

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 556195

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 321693

**Regulatory DRP for: Applicant (Responding to Questions: 9-C3, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 320333

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 301703

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 264404

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 257019

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 252892

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 163953

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113877

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113876

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113875

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113873

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113872

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113870

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113869

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113868

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113867

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113866

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113865

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113864

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113863

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113862

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113861

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 113874

  - **Associated Person:** —

  - **CRD Number:** 10147

  - **Filed On (AP):** Form ADV/BD/U4 for ROBERT THOMAS SECURITIES, INC.

  - **Disclosure Number:** UNKNOWN

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** LYNN POUNDS PIPPENGER

  - **CRD Number:** 363987

  - **Filed On (AP):** Form ADV/BD/U4 for LYNN POUNDS PIPPENGER

  - **Disclosure Number:** 334156

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** ROBERT FLETCHER SHUCK

  - **CRD Number:** 422862

  - **Filed On (AP):** Form ADV/BD/U4 for ROBERT FLETCHER SHUCK III

  - **Disclosure Number:** 45203

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** LYNN POUNDS PIPPENGER

  - **CRD Number:** 363987

  - **Filed On (AP):** Form ADV/BD/U4 for LYNN POUNDS PIPPENGER

  - **Disclosure Number:** 334156

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 594183

  - **Associated Person:** ROBERT FLETCHER SHUCK

  - **CRD Number:** 422862

  - **Filed On (AP):** Form ADV/BD/U4 for ROBERT FLETCHER SHUCK III

  - **Disclosure Number:** 45203

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1739100

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1718786

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1584787

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1584782

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1209728

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 00000

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1786589

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1793953

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1793957

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1739011

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1801844

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1871171

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1882216

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1882215

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** UNKNOWN

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1927000

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1924490

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1891236

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1893511

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1899016

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1899342

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1900328

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 705

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

  - **Disclosure Number:** 1904746

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1942245

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1962859

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 1966056

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1978680

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 1979340

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 705

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

  - **Disclosure Number:** 1967224

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 705

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

  - **Disclosure Number:** 1966428

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2004850

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2006571

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2046098

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 2046115

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for Raymond James Financial Services,Inc

  - **Disclosure Number:** 2050897

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 53429752

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2059002

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2059002

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2058951

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2058899

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2051262

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4, 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

- **CRD Number:** 6694

- **Disclosure Number:** 2050897

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2090408

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2230619

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2234280

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2235512

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2246150

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 2237103

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2254117

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2283793

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2306307

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 2306311

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2307389

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 2307414

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2307388

  - **Associated Person:** —

  - **CRD Number:** 6694

  - **Filed On (AP):** Form ADV/BD/U4 for RAYMOND JAMES FINANCIAL SERVICES, INC.

  - **Disclosure Number:** 2307413

**Regulatory DRP for: Applicant (Responding to Questions: 9-D3, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2311634

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2311632

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2311631

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2311629

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2311630

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2306307

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2307388

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2307389

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2311629

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2311630

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2311631

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2311632

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2311634

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2313738

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2314441

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316481

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316482

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316483

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316484

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316485

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316486

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2316487

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2318865

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2321389

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2321390

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2321391

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2321392

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2321392

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2321393

**Regulatory DRP for: Applicant (Responding to Questions: 9-D3, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2324699

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2326178

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2326179

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2327269

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2327269

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2331209

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2331210

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2341210

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates Inc

- **CRD Number:** 705

- **Disclosure Number:** 2353491

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for RAYMOND JAMES & ASSOCIATES, INC.

- **CRD Number:** 705

- **Disclosure Number:** 2356287

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc

- **CRD Number:** 705

- **Disclosure Number:** 2356287

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2376758

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Raymond James & Associates, Inc.

- **CRD Number:** 705

- **Disclosure Number:** 2447871

### Execution Page

**Signature:** Alena Barlow

**Signer Name:** Alena Barlow

**Title:** Director, Regulatory Registrations

**Date:** 12-15-2025

**CRD Number:** 3252251