RAYMOND JAMES FINANCIAL, INC.
24 disclosures across 5 jurisdictions · 2021-11-12 → 2026-01-30. Severity score: 23 across 19 incidents (max per incident: crit=4 high=3 med=2 low=1; per-filing sum: 29).
Scope. This scorecard covers filings naming this entity record. Related records are scored separately: Morgan Keegan & Company, Inc. (subsidiary record); RAYMOND JAMES & ASSOCIATES, INC. (subsidiary record).
1825-day window · this entity as victim
apparent from filed dates · see trail
of 1 clock verdicts
max per incident · per-filing sum: 29
Sector context · Finance
- This entity:
- 0.0% on-time (n=1 clock verdicts)
- Sector cohort:
- 25.6% on-time (n=2,334 clock verdicts)
Cohort: 6,582 filings from 2,122 organisations carrying NAICS 52 on the filing itself, same 1825-day window; merged entities counted once. Both percentages count clock verdicts through the same registry — a filing with no evaluable clock is excluded from both rather than counted as on time.
Compliance timing by regulator
Notice timing computed from the dates recorded in each filing — an indicative estimate from an automated clock, not a legal determination. Click any chip for this entity's source filings.
- Maine0 on-time · 1 review · 0 late · 1
- Massachusetts0 on-time · 0 late · 3 informational · 3
us-in — no notification-clock framework implemented for this jurisdiction
us-mt — no notification-clock framework implemented for this jurisdiction
us-nh — no notification-clock framework implemented for this jurisdiction
Discovery dates behind these clocks: 1 ag web form · 2 letter-grounded. Only a date the notification letter itself states is fully defensible; a date derived from another field makes the verdict indicative.
Regulators holding filings from this entity
Every regulator that has received a visible filing naming this entity, all time — filings first.
- Massachusetts State AG (28)
- Indiana State AG (8)
- Montana State AG (2)
- Maine State AG (1)
- New Hampshire State AG (1)
SEC-registered (CIK 0000720005). SEC cyber filings on record in this corpus: none. Materiality under Item 1.05 is the registrant's own determination; the absence of a filing is a fact about this corpus, not a finding about any obligation.
Breach History (5-Year Lookback)
Historical incident recurrence, cumulative exposure, and per-jurisdiction compliance record
within lookback window
late notice filings
median days between incidents
Per-jurisdiction compliance record
| Jurisdiction | On-time | Late | Rate |
|---|---|---|---|
| us-ma | 0 | 0 | — |
| us-me | 0 | 1 | 0% |
Cumulative data type exposure
Disclosure timeline
Most-recent 100 filings. Click a row to open the disclosure detail.
| Filed | Source | Jurisdiction | Severity | Affected | Clocks missed |
|---|---|---|---|---|---|
| 2026-01-30 | state_ag | us-ma | Medium | 3state | |
| 2025-11-05 | state_ag | us-ma | Low | 2state | |
| 2025-10-08 | state_ag | us-in | Low | 10 | |
| 2025-07-30 | state_ag | us-ma | Medium | 1state | |
| 2025-07-03 | state_ag | us-ma | Low | 1state | |
| 2025-06-13 | state_ag | us-ma | Medium | 1state | |
| 2025-04-22 | state_ag | us-in | Low | 41 | |
| 2025-04-22 | state_ag | us-ma | Low | 1state | |
| 2024-06-04 | state_ag | us-ma | Low | 2state | |
| 2024-03-01 | state_ag | us-ma | Low | 1state | |
| 2024-01-10 | state_ag | us-ma | Low | 1state | |
| 2023-10-31 | state_ag | us-in | Low | 2state | |
| 2023-10-27 | state_ag | us-in | Low | 1state | |
| 2023-10-03 | state_ag | us-me | Low | 1state | ME AG >30d· discovery date: ag web form |
| 2023-09-01 | state_ag | us-ma | Low | 2state | |
| 2023-08-23 | state_ag | us-mt | Medium | 6state | |
| 2023-08-15 | state_ag | us-ma | Medium | 1state | |
| 2023-04-20 | state_ag | us-ma | Low | 1state | |
| 2023-04-18 | state_ag | us-ma | Low | 1state | |
| 2023-03-14 | state_ag | us-ma | Low | 6state | |
| 2023-03-14 | state_ag | us-nh | Low | 3state | |
| 2022-08-05 | state_ag | us-in | Low | 2state | |
| 2021-11-19 | state_ag | us-ma | Low | 1state | |
| 2021-11-12 | state_ag | us-ma | Low | 1state |