Your Rights and Responsibilities as a Raymond James Client

Conflict Resolution

Almost all client complaints are resolved quickly as a result of discussions with financial advisors or other associates at our firm. However, experience indicates that some misunderstandings can and will occur. A client’s first communication should be directed to his or her financial advisor. In the event that satisfaction is not promptly received at that level, the branch manager should then be contacted.

If the client is still dissatisfied, he or she should contact our international headquarters. In the case of Raymond James & Associates, clients should contact the Client Services Department at 800-647-SERV (7378) for operational problems dealing with confirmations, statements, deliveries, etc. If the problem deals with an investment or unsatisfactory service from an associate of the company, inquiries should be directed to the Compliance Department at 800-248-8863 or write to them at 880 Carillon Parkway, St. Petersburg, FL 33716.

For clients of Raymond James Financial Services, international headquarters inquiries should be directed to the Raymond James Financial Services Compliance Department at 800-248-8863, ext. 73016 or write to them at 880 Carillon Parkway, St. Petersburg, FL 33716.

Our headquarters are open weekdays, with the exception of national holidays when the stock market is closed, from 8:30 a.m. to 5:30 p.m. EST.

In the unlikely event that the firm has not resolved the conflict to a client’s satisfaction, the client may seek mediation to see if an independent third party can assist in fashioning a compromise. Mediation can be initiated by contacting the person at Raymond James handling the complaint. The client may also file for arbitration. Arbitration is conducted before the New York Stock Exchange, the National Association of Securities Dealers or other self-regulatory organizations subject to the jurisdiction of the Securities and Exchange Commission pursuant to the arbitration rules of the SRO and in accordance with the Federal Arbitration Act (Title 9 of the United States Code). Mediation will neither impair access to arbitration nor impede the arbitration process. A court of competent jurisdiction may enter judgment based on the award rendered by the arbitrators.

Nothing in the New Account Agreement shall be deemed to limit or waive the application of any relevant state or federal statute of limitation, repose or other time bar. Any claim made by either party to the agreement that is time barred for any reason shall not be eligible for arbitration.

Clients can contact the Financial Industry Regulatory Authority (FINRA) at 800-289-9999 or the New York Stock Exchange at 212-656-3000 and they will provide the appropriate information needed to file for arbitration. Clients are also encouraged to visit the FINRA Website at www.finra.org for additional information and to request the FINRA’s Public Disclosure Program brochure.

Since both state and federal statute of limitations requirements apply to securities matters and the ability to rectify problems is greatest when notification is close to the offending event, complaints should be made promptly.

The information in this section also appears in the brochure entitled: “Your rights and responsibilities as a Raymond James client.”