RAYMOND JAMES (USA) LTD
Adviser information for RAYMOND JAMES (USA) LTD last updated from Form ADV on December 13th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 145 |
|---|---|
| Investment Advisory/Research | 115 |
| Registered Broker-Dealer Representatives | 100 |
| Registered State Investment Advisers | 25 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 621 | $263.2M |
| Non-Discretionary | 3,175 | $1.0B |
| Total | 3,796 | $1.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,485 | $727.5M |
| HNW Individuals | 233 | $542.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 2 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1.0B |
| Portfolio Manager | 263.2M |
| Both for Same | 1.3B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AMBASSADOR | RAYMOND JAMES (USA) LTD |
Identifiers
| SEC RIA File Number | 801-72137 |
|---|---|
| SEC ERA File Number | 801-72137 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 25853 |
| Legal Entity Identifier | 82368 6126 |
Principal Office
2100-925 WEST GEORGIA STREETVANCOUVER
Canada
Monday - Friday, 6:00AM-4:00PM
Tel: 877-570-7558, Fax: 866-567-0514
Websites
Chief Compliance Officer
BARB MAJERSKI
CHIEF COMPLIANCE OFFICER
1400-100 YONGE STREET
TORONTO
Canada
Tel:
647-837-2250
Fax:
866-567-0574
B************@*******M
(Full email address available in API data)
Regulatory Contact
HARRIS AYYUB
MANAGER COMPLIANCE
2100-925 WEST GEORGIA STREET
VANCOUVER
Canada
Tel:
604-654-6577
Fax:
604-654-1536
H***********@**************A
(Full email address available in API data)
Industry Affiliates
| CARILLON FUND DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CEBILE CAPITAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CEBILE CAPITAL LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLARIVEST ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| COUGAR GLOBAL INVESTMENTS | Other investment adviser, including financial planners |
| EAGLE ASSET MANAGEMENT INC | Other investment adviser, including financial planners |
| EB MANAGEMENT I LLC | Other investment adviser, including financial planners |
| RAYMOND JAMES & ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES ASSET MANAGEMENT INTERNATIONAL S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES CORPORATE FINANCE GMBH | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES EURO EQUITIES SAS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES FINANCIAL INTERNATIONAL, LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES FINANCIAL PLANNING | Insurance company or agency |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES GLOBAL SECURITIES LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES INVESTMENT COUNSEL LTD. | Other investment adviser, including financial planners |
| RAYMOND JAMES INVESTMENT MANAGEMENT | Other investment adviser, including financial planners |
| RAYMOND JAMES INVESTMENT SERVICES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES TRUST (CANADA) | Trust company |
| RAYMOND JAMES TRUST QUEBEC | Trust company |
| RAYMOND JAMES TRUST, NA | Trust company |
| SCOUT INVESTMENTS, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAYMOND JAMES LTD. | Foreign Entity | – | OWNER | 04/1998 | > 75% |
| RAYMOND JAMES FINANCIAL, INC. | Domestic Entity | RAYMOND JAMES LTD | SHAREHOLDER | 01/2001 | > 75% |
| RICHARD, SANDRA MAUD | Individual | – | CHIEF OPERATING OFFICER | 12/2022 | < 5% |
| KRUTOW, WILLIAM BRUCE | Individual | – | CAPITAL MARKETS COMPLIANCE OFFICER | 11/2004 | < 5% |
| MCDONALD, ROBERT DONALD MR. | Individual | – | DIRECTOR | 05/2017 | < 5% |
| MARCUS, STEVEN ROBERT | Individual | – | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 03/2019 | < 5% |
| VERCH, SYBIL DIANE | Individual | – | CHAIR | 12/2022 | < 5% |
| MAJERSKI, BARBARA | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| SVEC, NICOLE JANE | Individual | – | DIRECTOR | 10/2022 | < 5% |
| LIM, CHRISTOPHER JOHN | Individual | – | CHIEF FINANCIAL OFFICER | 12/2022 | < 5% |