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Additional Information

Additional Information for Raymond James & Associates, Inc.

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This is a multi-location business.

Location of This Business

880 Carillon Pkwy, Saint Petersburg, FL 33716-1102

BBB File Opened:

7/1/1983

Years in Business:

60

Business Started:

1/1/1964

Business Incorporated:

2/19/1969

Licensing Information:

This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.

BBB records show a license number of IA0901701 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901177 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901412 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901409 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB9903661 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901215 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901214 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901191 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901213 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901210 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901186 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901205 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901204 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901172 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901203 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901208 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

BBB records show a license number of BDB0901198 for this business, issued by Florida Office of Financial Regulation

These agencies may include:

Florida Office of Financial Regulation

101 E Gaines St

Tallahassee FL 32399

Type of Entity:

Corporation

Alternate Business Name

Raymond James Financial Services, Inc.
Raymond James Bank, FSB

Business Management

Mr. Thomas A. James, Chairperson
Mr. Dennis W. Zank, COO
Mr. Thomas R. Tremaine, Executive Vice President
Mr. Tashtego Elwyn, President/CFO
Mr. Jeffrey P. Julien, Director
Mr. Jonathan N. Santelli, Secretary
Mr. Tom Walrond, Senior Vice President
Mr. Tom Galvin, Senior Vice President
Mr. Patrick O'Connor, Senior Vice President
Mr. John Lapwing, Vice President
Mr. Ryan Brassard, Division Manager
Mr. Todd Gartrell, Regional Director
Mr. Paul Shoukry, Treasurer
Mr. Jeff Dowdle, President

Contact Information

Principal

Mr. Tashtego Elwyn, President/CFO

Customer Contact

Mr. Thomas A. James, Chairperson
Mr. Raymond LaCour, Senior Vice President of Office Services
Mr. Dennis W. Zank, COO
Mr. Thomas R. Tremaine, Executive Vice President
Mr. Jim Conlin, Branch Manager
Mr. Bruce Body, Branch Manager
Ms. Karen Julien, Branch Manager
Mr. Steve Acuff, Branch Manager
Mr. David Morgan, Branch Manager
Mr. Jim Aten, Branch Manager
Mr. Evan Whittle, Branch Manager
Mr. Greg Ghodsi, Branch Manager
Mr. Troy Atlas, Branch Manager
Mr. Tashtego Elwyn, President/CFO
Mr. Jeffrey P. Julien, Director
Mr. Jonathan N. Santelli, Secretary
Mr. Fred Maschmidt, Branch Manager
Mr. Bart Lewis, Branch Manager
Mr. Tom Walrond, Senior Vice President
Mr. Tom Galvin, Senior Vice President
Mr. Patrick O'Connor, Senior Vice President
Mr. John Lapwing, Vice President
Mr. Ryan Brassard, Division Manager
Mr. Todd Gartrell, Regional Director
Mr. Paul Reilly, CEO
Mr. Bob Carney, Branch Manager
Mr. Paul Shoukry, Treasurer
Mr. Jeff Dowdle, President
Ms. Katie Austin, Marketing Director
Kyle Witschen, Director of Dispute Resolution
Mr. Andrew Avery, Senior Account Executive

Additional Contact Information

Fax Numbers

(727) 567-8004
Primary Fax

Phone Numbers

(727) 796-5555
Other Phone
(727) 584-8615
Other Phone

Additional Business Information

Government Actions

Government Action: BBB reports on known government actions involving business’ marketplace conduct:

6694

Members of the North American Securities Administrators Association (NASAA) conducted a coordinated investigation into whether Raymond James charged unreasonable commissions on certain low principal equity transactions during the period of approximately July 1, 2018 to the present. Raymond James has agreed to resolve the Investigation upon the terms specified herein.

Despite these sanctions, Raymond James did not implement or maintain adequate compliance and supervisory systems to monitor Minimum Equity Commissions.

Raymond James is required to pay over $1.7 million in restitution to customers, including fines totaling $425,000. 20. Raymond James is hereby also ordered to pay full restitution in the amount of over $465,000, plus interest in the amount of 6%, to the California customers with transactions which included an unreasonable commission for services performed from July 1, 2018 through July 17, 2023.

Order to Pay Penalties. Pursuant to Corporations Code section 25252, Raymond James is hereby ordered to pay a penalty totaling $75,000.00 (Penalty) to the Commissioner for violations of the CSL. Payment of the Penalty shall be made no more than 15 days after the Effective Date.

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Products and Services

This company provides full service financial planning and brokerage services to individuals and corporations.

Social Media

Business Categories

Investment Security, Financial Services, Financial Planning Consultants, Retirement Planning Services, Investment Advisory Services, Stock Brokers, Financial Consultants

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