Securities Investor Protection Corporation (SIPC)

Our investment philosophy goes beyond the objectives of diversification, preservation of principal and capital appreciation. While there is no doubt that these are important objectives for a vast majority of our clients, we believe their portfolios deserve even more.

The added ingredients we provide include – but certainly are not limited to – a financial advisor who puts your needs above all else, an experienced staff to handle the execution and processing of transactions, a state-of-the-art computer system to generate comprehensive account statements, and a highly experienced due diligence group to review investment alternatives before they are offered.

We also offer the reassurance that comes from knowing client accounts are protected.

Account Protection

Each account custodied by Raymond James & Associates is protected for the net equity of the client’s securities and cash positions. Raymond James & Associates is a member of the Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $100,000 for claims for cash awaiting reinvestment). An explanatory brochure is available upon request or at sipc.org or by calling 202-371-8300.

We then provide additional protection (excess SIPC) through Customer Asset Protection Company, a licensed Vermont insurer rated A+ by Standard & Poor’s. Account protection applies when a SIPCmember firm fails financially and is unable to meet obligations to securities clients, but it does not protect against market fluctuations.

For more detailed information about our expanded protection – or any of our client services – please contact your financial advisor today.