RJF 10-K Annual Report Sept. 30, 2023

RAYMOND JAMES FINANCIAL INC

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TABLE OF CONTENTS

Part I Item 1. Business Item 1A. Risk Factors Item 1B. Unresolved Staff Comments Item 2. Properties Item 3. Legal Proceedings Item 4. Mine Safety Disclosures Part II Item 5. Market For Registrant S Common Equity, Related Shareholder Matters and Issuer Purchases Of Equity Securities Item 6. Reserved Item 7. Management S Discussion and Analysis Of Financial Condition and Results Of Operations Item 7A. Quantitative and Qualitative Disclosures About Market Risk Item 8. Financial Statements and Supplementary Data Note 1 Organization and Basis Of Presentation Note 2 - Summary Of Significant Accounting Policies Note 3 Acquisitions Note 4 Fair Value Note 5 Available-for-sale Securities Note 6 Derivative Assets and Derivative Liabilities Note 7 Collateralized Agreements and Financings Note 8 Bank Loans, Net Note 9 Loans To Financial Advisors, Net Note 10 Variable Interest Entities Note 11 - Goodwill and Identifiable Intangible Assets, Net Note 12 - Other Assets Note 13 - Property and Equipment, Net Note 14 - Leases Note 15 Bank Deposits Note 16 Other Borrowings Note 17 Senior Notes Payable Note 18 Income Taxes Note 19 Commitments, Contingencies and Guarantees Note 20 Shareholders Equity Note 21 - Revenues Note 22 Interest Income and Interest Expense Note 23 - Share-based and Other Compensation Note 24 Regulatory Capital Requirements Note 25 Earnings Per Share Note 26 Segment Information Note 27 Condensed Financial Information (parent Company Only)Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure Item 9A. Controls and Procedures Item 9B. Other Information Item 9C. Disclosure Regarding Foreign Jurisdictions That Prevent Inspections Part III Item 10. Directors, Executive Officers and Corporate Governance Part IV Item 15. Exhibits and Financial Statement Schedules Item 16. Form 10-k Summary

Exhibits

10.2.15 * Form of Restricted Stock Unit Award Notice and Agreement for Special Retention Award (performance-based vesting with rTSR) for Mr. Paul C. Reilly under the Amended and Restated 2012 Stock Incentive Plan, incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K, filed with the Securities and Exchange Commission on December 19, 2022. 10.2.16 * Form of Restricted Stock Unit Award Notice and Agreement for Special Retention Award (time-based vesting) for Mr. Paul C. Reilly under the Amended and Restated 2012 Stock Incentive Plan, incorporated by reference to Exhibit 10.2 to the Companys Current Report on Form 8-K, filed with the Securities and Exchange Commission on December 19, 2022. 10.3 * Amended and Restated Raymond James Financial Long-Term Incentive Plan, effective August 22, 2018, incorporated by reference to Exhibit 10.9 to the Companys Annual Report on Form 10-K, filed with the Securities Exchange Commission on November 21, 2018. 10.4 * Raymond James Financial, Inc. Amended and Restated Voluntary Deferred Compensation Plan, effective May 17, 2017, incorporated by reference to Exhibit 10.12 to the Companys Annual Report on Form 10-K, filed with the Securities Exchange Commission on November 21, 2018. 10.6 * Amended and Restated Form of Director and Officer Indemnification Agreement, incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K, filed with the Securities and Exchange Commission on March 6, 2019. 10.7 Amended and Restated Credit Agreement, dated as of April 6, 2023, among Raymond James Financial, Inc., Raymond James & Associates, Inc., the Lenders party thereto and Bank of America, N.A, incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K, filed with the Securities and Exchange Commission on April 12, 2023. 21 List of Subsidiaries. 23 Consent of Independent Registered Public Accounting Firm. 31.1 Certification of Paul C. Reilly pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2 Certification of Paul M. Shoukry pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32 Certification of Paul C. Reilly and Paul M. Shoukry pursuant to Rule 13a-14(b) and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Supplier name	Ticker
SPDR Gold Shares	GLD
CME Group Inc.	CME
Intercontinental Exchange, Inc.	ICE
Moody's Corporation	MCO
Nasdaq, Inc.	NDAQ
iShares Gold Trust	IAU
MarketAxess Holdings Inc.	MKTX

RJF 10-K Fiscal year ended Sept. 30, 2023

Exhibits