Raymond James Financial filings document the regulatory record of a diversified financial services company with common stock listed on the New York Stock Exchange. Its 8-K reports furnish quarterly results, financial supplements, earnings presentations and Regulation FD operating data tied to client assets, fee-based accounts, bank loans, cash sweep programs, investment banking conditions and capital ratios.
Proxy and annual-meeting filings cover board elections, executive compensation votes, equity incentive plans, employee stock purchase plans and auditor ratification. Other securities filings address capital-structure matters, including exchange removal and registration withdrawal for depositary shares representing an interest in Series B preferred stock, as well as material-event disclosures and shareholder voting outcomes.
Raymond James Financial Chief Strategy Officer Tarek Helal reported insider stock transfers involving company common shares. On December 30, 2025, he reported gifts of small share amounts coded as "G" (bona fide gifts) between trusts for which he serves as trustee, including the Mohamed Anis Helal March 2022 GRAT #4 and the Tarek Helal 2021 Gifting Trust.
Following these transactions, he continues to hold 25,029 shares of Raymond James common stock directly and additional shares through indirect holdings. These indirect interests include 535 shares held in an Employee Stock Ownership Plan as of December 10, 2025, and trust accounts used for estate planning. One of the reporting trusts no longer holds Raymond James shares after the reported gifts.
Raymond James Financial Inc. is having a specific class of its securities removed from listing and registration on the New York Stock Exchange LLC. The affected security is the company’s Depositary Shares, each representing a 1/40th interest in a share of 6.375% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock. The NYSE filed Form 25 to certify that it has met the requirements under Section 12(b) of the Securities Exchange Act of 1934 and applicable SEC rules to strike this class of securities from listing and/or withdraw its registration.
Raymond James Financial, Inc. furnished a current report to share that it issued a press release with its operating data for November 2025. The press release, dated December 17, 2025, is attached as Exhibit 99.1 and is incorporated herein by reference.
The company states that this information is being "furnished" rather than "filed" under securities laws, so it is not subject to certain Section 18 liability provisions and will only be incorporated into other SEC filings if specifically stated. The report also includes the cover page interactive data file as Exhibit 104.
Raymond James Financial executive Jonathan N. Santelli, EVP, General Counsel and Secretary, reported stock and RSU activity dated 12/15/2025. Previously granted restricted stock units (RSUs) converted into common shares, and some of those shares were surrendered back to the company at $163.85 per share to cover tax withholding related to the vesting. On the same date, he received new RSU grants, including 3,661 units that vest 60% on 12/15/2028 and 20% on each of 12/15/2029 and 12/15/2030, and 1,488 units awarded as part of his annual bonus that are scheduled to vest in 2028. Each RSU represents the right to receive one share of Raymond James Financial common stock plus accrued cash in lieu of dividends upon vesting. Following these transactions, he beneficially owned 31,353 common shares directly and 540 shares indirectly through an employee stock ownership plan.
An officer of Raymond James Financial Inc., serving as Executive Chair of RJBank, reported equity transactions dated 12/15/2025. Previously granted restricted stock units (RSUs) vested, converting 3,264 and 1,474 RSUs into common shares, while 547, 705 and 1,207 shares were withheld at $163.85 per share to cover associated tax obligations.
On the same date, the officer received new grants of 3,661 management RSUs and 1,488 RSUs as part of an annual bonus under the Amended and Restated 2012 Stock Incentive Plan. Following these transactions, the officer directly held 48,733 shares of common stock and indirectly held 3,156 shares through an Employee Stock Ownership Plan.
Raymond James Financial Inc. reported that its chief financial officer received two grants of restricted stock units on December 15, 2025. One award covers 3,661 RSUs that each convert into one share of common stock plus accrued cash in lieu of dividends, vesting 60% on December 15, 2028, 20% on December 15, 2029, and 20% on December 15, 2030.
A second award of 1,678 RSUs was granted as a portion of the officer's annual bonus under the Amended and Restated 2012 Stock Incentive Plan. Each unit represents a contingent right to receive common stock and accrued cash when vested, and both awards are reported as directly owned derivative securities.
Raymond James Financial Inc. reported equity transactions by Chief Administrative Officer Bella Loykhter Allaire. On 12/15/2025, restricted stock units vested into 3,287 and 3,264 shares of common stock at $0, and each unit represents a contingent right to receive one share plus accrued cash in lieu of dividends.
To cover tax liabilities from this vesting, Allaire disposed of 1,207, 1,217 and 1,574 shares at $163.85 per share to the issuer, resulting in 83,137 shares held directly and 1,251 shares held indirectly through an Employee Stock Ownership Plan. She also received new grants of 3,661 management RSUs and 3,357 RSUs as part of her annual bonus under the Amended and Restated 2012 Stock Incentive Plan, which are scheduled to vest between 12/15/2026 and 12/15/2030.
Raymond James Financial disclosed new equity awards to its chief risk officer, David Krauss, reflecting part of his compensation. On 12/15/2025, he received 3,661 restricted stock units (RSUs), each representing a right to one share of common stock plus accrued cash in lieu of dividends upon vesting. These RSUs vest 60% on 12/15/2028, 20% on 12/15/2029, and 20% on 12/15/2030.
On the same date, he was also granted an additional 671 RSUs as a portion of his annual bonus under the Amended and Restated 2012 Stock Incentive Plan. All RSUs are held directly and convert into common stock if vesting conditions are met, aligning a portion of the officer’s pay with future company performance.
Raymond James Financial Inc. reported new equity awards for its Chief Strategy Officer dated 12/15/2025. On that date, the executive received 3,661 management restricted stock units (RSUs) and a separate award of 458 RSUs granted as a portion of the annual bonus under the Amended and Restated 2012 Stock Incentive Plan.
Each RSU represents a contingent right to receive, upon vesting, one share of common stock plus accrued cash in lieu of dividends. The 3,661 management RSUs vest 60% on 12/15/2028, 20% on 12/15/2029, and 20% on 12/15/2030. Both RSU awards are listed as directly owned, with a stated derivative security price of $0.0000 per unit and underlying common stock in the same amounts.
Raymond James Financial Chief Operating Officer Scott A. Curtis reported multiple equity transactions dated 12/15/2025. Previously granted restricted stock units (RSUs) vested into shares of common stock, and some of those shares were transferred back to the issuer at $163.85 per share to cover related tax withholding obligations.
After these transactions, Curtis beneficially owns 192,418 shares of Raymond James common stock directly and an additional 4,190 shares indirectly through an Employee Stock Ownership Plan account. He also received new RSU awards, including 3,661 management RSUs that vest 60% on 12/15/2028, 20% on 12/15/2029 and 20% on 12/15/2030, plus a grant of 4,348 RSUs as part of his annual bonus.