Your Rights and Responsibilities as a Raymond James Client

The Raymond James Mission Statement

We, the associates of Raymond James, commit our energies, intellect and knowledge to attaining the financial objectives of our clients by providing the highest possible level of service and delivering superior investment alternatives. We believe that putting the financial well-being of our clients first ultimately serves the best interests of our associates, shareholders and communities. Remaining responsive to the needs of our clients in a financial environment characterized by constant change is our continuing challenge.

Our business is people and their financial well-being. Therefore, in the pursuit of our goals, we will conduct ourselves in accordance with the following precepts:

• Our clients always come first.
• We must provide the highest level of service with integrity.
• Assisting our clients in the attainment of their financial objectives is our most worthy enterprise.
• We must communicate with our clients clearly and frequently.
• Our investments and services must be of superior quality.
• Teamwork – cooperating with and providing assistance and support to our fellow associates – is fundamental to sustaining a quality work environment that nurtures opportunities for unparalleled service, personal growth and job satisfaction.
• Continuing education is necessary to maintain the timeliness of investment knowledge, tax laws and financial planning techniques.
• Innovation is requisite to our survival in a changing world.
• To emulate other members of our industry requires that we work hard; to excel beyond our peers requires us to provide an even higher caliber of service to our clients.
• We must give something back to the communities in which we live and work.

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