Sec Form 5 Filing - JAMES THOMAS A @ RAYMOND JAMES FINANCIAL INC - 2021-09-30

FORM 5 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person JAMES THOMAS A 2. Issuer Name and Ticker or Trading Symbol RAYMOND JAMES FINANCIAL INC [ RJF] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) Chairman Emeritus (Last) (First) (Middle) 880 CARILLON PARKWAY 3. Date of Earliest Transaction (MM/DD/YY) 09/30/2021 (Street) ST. PETERSBURG, FL33716 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 04/12/2021 W 400 A $ 0 108,487( 1 ) I Spouse Common Stock 1,350( 2 ) I By Harbus Investors, Inc. Common Stock 50,625( 2 ) I By James Ventures, Inc. Common Stock 664,131( 3 ) I By Robert A. James Trust Common Stock 1,500,000( 2 ) I By TA James Ventures Partnership Common Stock 17,590,310( 2 ) I By Thomas A. James Family Rev Trust Common Stock 677( 4 ) I ESOP

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other JAMES THOMAS A 880 CARILLON PARKWAY ST. PETERSBURG, FL33716 X Chairman Emeritus Signatures /s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact 11/15/2021 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Reports the balance of common stock held prior to the RJF 3-for-2 stock split that occurred on September 21, 2021. After the RJF stock split, the amount of securities beneficially owned indirectly as of September 30, 2021 was 162,730 shares of common stock. ( 2 )On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock. ( 3 )The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock. ( 4 )Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 30, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021.

Remarks: This Form 5 reports an acquisition of common stock by the spouse of the reporting person on April 12, 2021 and revised balances in holdings of the registrant's common stock after giving effect to a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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