CRD #705 · FINRA BrokerCheck + SEC IAPD

Raymond James & Associates, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Raymond James & Associates, Inc. ranks #20 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #1 of 251 on the same disclosure sort used on the state browse page. Raymond James & Associates, Inc. carries 253 BrokerCheck disclosures across 3,107 branch offices - light load for a national firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3,107
branch offices
253
disclosures
#20 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 705 Raymond James & Associates, Inc.

Raymond James & Associates, Inc. · Grade C · 253 disc · 0.08/office · National firm

  • CRD 705
  • GRADE C
  • DISC 253
  • REG 181
  • ARB 72
  • CIV 0
  • BRANCH 3,107
  • PER-OFF 0.08
  • RANK #20 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: J.P. Morgan Securities LLC (0.08 disc/office)

J.P. Morgan Securities LLC0.08Robert W. Baird & Co. I…0.07Wells Fargo Clearing Se…0.06Raymond James & Ass… (this)0.08
Disclosures per office among national firm peers (lower is cleaner)

Raymond James & Associates, Inc. ranks #20 of 20,055 by disclosure count among graded broker-dealers; light load at 0.08 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

3,107 offices

FINRA: Large firm

Total disclosures

253 events

On FINRA BrokerCheck

Regulatory events

181 actions

72% of all disclosures

Disclosures per office

0.08 per office

253 ÷ 3,107 offices

Raymond James & Associates, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 89% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 181
Arbitrations 72
Civil Events 0
Total 253

Counts for Raymond James & Associates, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 181 Arbitration 72 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
St. Petersburg, FL
CRD Number
705

Lower disclosures per office

Raymond James & Associates, Inc. in the heavier-disclosure third

Raymond James & Associates, Inc. carries 253 BrokerCheck disclosures across 3,107 branch offices - a heavier-third raw book among graded firms (#20 of 20,055). Regulator-initiated events are 72% of the book (181 regulatory / 72 arbitration / 0 civil).

Raymond James & Associates, Inc. runs 0.08 disclosures per branch office (cleaner than 89% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Raymond James & Associates, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Florida cohort · 55× state average

Raymond James & Associates, Inc. sits above the Florida disclosure average

Raymond James & Associates, Inc. reports 253 BrokerCheck disclosures, 55× the Florida average of 4.6 across 251 graded firms with a principal-office state on file.

In Florida, 152 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Raymond James & Associates, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Raymond James & Associates, Inc. ranks #20 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #1 of 251 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Raymond James & Associates, Inc.?
A grade of C reflects Raymond James & Associates, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 253 total disclosures across 3,107 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Raymond James & Associates, Inc. have?
Raymond James & Associates, Inc. has 253 total FINRA disclosures, including 181 regulatory events, 72 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Raymond James & Associates, Inc.?
Raymond James & Associates, Inc. operates 3,107 branch offices and is classified by FINRA as a large firm, registered in FL (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Raymond James & Associates, Inc.'s disciplinary record?
You can verify Raymond James & Associates, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 705. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Raymond James & Associates, Inc.'s 253 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Raymond James & Associates, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Raymond James & Associates, Inc. carries 253 disclosures across 3,107 branch offices (about 0.08 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Raymond James & Associates, Inc., both outside FL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.