What SEC filings does Raymond James Financial, Inc. submit to the SEC?

Raymond James Financial, Inc. (RJF) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about RJF?

A Form 4 for RJF discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Raymond James Financial, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for RJF?

The 10-K is Raymond James Financial, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all RJF SEC filings directly on EDGAR?

You can view all historical Raymond James Financial, Inc. filings on the SEC EDGAR company page for RJF. Each filing card on this page links directly to the original SEC document.

How often does Raymond James Financial, Inc. file with the SEC?

Raymond James Financial, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling RJF shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

RJF SEC Filing News — Raymond James Financial, Inc.

Latest SEC filings for Raymond James Financial, Inc. (RJF) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-23.

Raymond James Financial, Inc., a diversified financial services company, provides private client group, capital markets, asset management, banking, and other services to individuals, corporations, and municipalities in the United States, Canada, and Europe. The Private Client Group segment offers financial planning, investment advisory, securities transaction, investment services, portfolio management services, insurance and annuity products, and mutual funds; support to third-party mutual fund …

Sector: Financial Services Industry: Asset Management Market Cap: $29.6B CIK: 720005

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for RJF currently lean bearish. Of the 20 filing records displayed, 3 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

RJF Filing Activity Snapshot 2026-03-25 — 2026-09-23

Insider Transactions (Form 4)

0 buys vs 3 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$1.76M

Elwyn Tashtego S (President, PCG) · 2026-07-29

10,000 shares · Form 4

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 5 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 5 filings in this group are Form 4s for Raymond James Financial, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 5 insider filings shown, the breakdown is 3 open-market sale and 2 gift. 3 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market sale ×3: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Gift ×2: Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Form 4 Open-market sale Insider Selling 2026-08-31

RJF insider Allaire Bella Loykhter (Chief Admin Officer) sold 7,500 shares (~$1.33M)

Allaire Bella Loykhter, listed as Chief Admin Officer at RAYMOND JAMES FINANCIAL INC, reported an open-market sale of 7,500 RJF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	7,500	$177.60	$1.33M

Filing: Form 4 (Insider Transaction) Insider: Allaire Bella Loykhter (Chief Admin Officer) Shares: 7,500 Est. Value: $1.33M

View on SEC EDGAR → Open Filing Document →

Form 4 Gift Tax / Compensation Filing 2026-08-27

RJF insider Form 4 filed for equity award, exercise, or tax withholding

Helal Tarek (Chief Strategy Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`G`	Gift	23,397	—	—
`G`	Gift	23,397	—	—

Filing: Form 4 (Insider Transaction) Insider: Helal Tarek (Chief Strategy Officer) Shares: 46,794

View on SEC EDGAR → Open Filing Document →

Form 4 Gift Tax / Compensation Filing 2026-08-20

RJF insider Form 4 filed for equity award, exercise, or tax withholding

Curtis Scott A (Chief Operating Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`G`	Gift	1,000	—	—

Filing: Form 4 (Insider Transaction) Insider: Curtis Scott A (Chief Operating Officer) Shares: 1,000

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-07-29

RJF insider Elwyn Tashtego S (President, PCG) sold 10,000 shares (~$1.76M)

Elwyn Tashtego S, listed as President, PCG at RAYMOND JAMES FINANCIAL INC, reported an open-market sale of 10,000 RJF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	10,000	$176.06	$1.76M

Filing: Form 4 (Insider Transaction) Insider: Elwyn Tashtego S (President, PCG) Shares: 10,000 Est. Value: $1.76M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-07-28

RJF insider Raney Steven M (Executive Chair RJBank) sold 5,770 shares (~$998.0K)

Raney Steven M, listed as Executive Chair RJBank at RAYMOND JAMES FINANCIAL INC, reported an open-market sale of 5,770 RJF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	5,770	$172.97	$998.0K

Filing: Form 4 (Insider Transaction) Insider: Raney Steven M (Executive Chair RJBank) Shares: 5,770 Est. Value: $998.0K

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 3 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Raymond James Financial, Inc. has 3 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-08-28

RJF Form 144 filed for proposed insider sale

An insider at RAYMOND JAMES FINANCIAL INC filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-28

RJF Form 144 filed for proposed insider sale

An insider at RAYMOND JAMES FINANCIAL INC filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-27

RJF Form 144 filed for proposed insider sale

An insider at RAYMOND JAMES FINANCIAL INC filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Material Events 10 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 10 in this period for Raymond James Financial, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-23