UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section l3 and l5(d) of the
Securities Exchange Act of l934
November 17, 2004
Date of report (date of earliest event reported)
Raymond James Financial, Inc.
(Exact Name of Registrant as Specified in Its Charter)
Florida
(State or Other Jurisdiction of Incorporation)
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1-9109 |
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59-1517485 |
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(Commission File Number) |
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(IRS Employer Identification No.) |
880 Carillon Parkway St. Petersburg, FL 33702
(Address of Principal Executive Offices) (Zip Code)
(727) 567-1000
(Registrant’s Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 7.01 Regulation FD Disclosure
The following information was contained in a press release issued on November 17, 2004.
Release No. 1104-03
Nov. 17, 2004 FOR IMMEDIATE RELEASE
RAYMOND JAMES FINANCIAL, INC.
REPORTS OCTOBER 2004 OPERATING DATA
ST. PETERSBURG, Fla. - In an effort to provide timely information to enable analysts and investors to stay better informed about the general trends in our major business segments, we are releasing selected operating statistics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed.
Raymond James Financial (NYSE-RJF) is a Florida-based diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies. Its three wholly owned broker/dealers, Raymond James & Associates, Raymond James Financial Services and Raymond James Ltd. have more than 5,100 financial advisors serving 1.3 million accounts in 2,200 locations throughout the United States, Canada and overseas. In addition, total client assets are approximately $128 billion, of which are approximately $23 billion are managed by the firm’s asset management subsidiaries.
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October 2004 |
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September 2004 |
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October 2003 |
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(5 weeks) |
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(4 weeks) |
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(5 weeks) |
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Securities commissions/fees (1) |
$111.4 mil. |
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$101.3 mil. |
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$112.7 mil. |
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Assets under management (2) |
$ 23.0 bil. |
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$ 22.3 bil. |
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$ 20.1 bil. |
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# of managed/co-managed underwritings (3) |
5 |
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7 |
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10 |
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Total customer assets under administration |
$ 127.8 bil.(4) |
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$124.2 bil.(4) |
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$ 100.4 bil. |
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| (1) |
Includes all securities commissions and fees generated by our financial advisors, both private client and institutional, except for emerging markets joint ventures. |
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This is the primary revenue driver for the asset management segment. Just under half of the assets under management are subject to billing quarterly in advance, with the balance billed mainly based on average daily assets. |
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This is only one of several key revenue sources for the capital markets segment, including institutional sales commissions. |
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These figures have been adjusted to include certain annuity assets held directly in the insurance companies. Future balances will include additional assets directly held as such information becomes available. For comparison purposes, such additions, to the extent that they cannot be retroactively applied, will be noted. |
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For more information, please contact Tracey Bustamante at 727-567-2824.
Please visit the Raymond James Press Center at www.RaymondJames.com/media.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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RAYMOND JAMES FINANCIAL, INC. |
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Date: November 18, 2004 |
By: |
/s/ Thomas A. James |
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Thomas A. James,
Chairman and Chief Executive Officer |
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By: |
/s/ Jeffrey P. Julien |
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Jeffrey P. Julien |
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Senior Vice President - Finance |
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and Chief Financial Officer |