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Raymond James Correspondent Clearing is located at:
880 Carillon Parkway
Department 15J00
St. Petersburg, FL 33716

Please send all e-mail inquiries to robb.combs@raymondjames.com.

We can be reached by telephone at 1-888 RJ CLEAR(752-5327) and by fax at 727-567-8305.

Please complete all sections as accurately as possible. If a section is not applicable, or the information provided is an estimate, please indicate in the “Notes” section. To initiate the approval process, Raymond James Correspondent Clearing requires the following information to be supplied and returned with this profile:

  1. U-4 forms of the principal officers.
  2. Most recent quarterly focus report.
  3. Form B/D filed with FINRA.
  4. Correspondent’s anti-money laundering procedures.
  5. Audited financial statements for the last two years. (if applicable)
  6. Commission reports for the last 3 months. (this will be used to develop a Schedule of Clearing Charges for your firm) and
  7. If non-U.S. BD (not registered with FINRA), send underlying “incorporation” documents for the “entity.”

Contact Information:
Contact person regarding this profile:
Phone number:
E-mail address:
Required Information  

Broker Dealer Information:

Broker Dealer name:
Address:
Address Line 2:
City:
State:
Zip:
Chairman:
President:
Financial Operations Principal:
Operations Manager:
Compliance Director:
Anti Money Laundering Officer:
Number of Income Producing Financial Advisors:
Number of Branch Locations:
FINRA District:
Tax I.D.:
Firm CRD Number:
MPID/Executing Symbol:
Regulatory Agency:
(i.e. FSA, Mercado de Valores; Buenos Aires Exchange, etc.)
How long has your firm been in business?:
What currencies will you be utilizing?:
Number of income-producing financial advisors:
Have any of your firm’s FAs been “statutorily disqualified?”:
% of Firm’s FAs with “Yes” answers on U4s:
Has your firm ever operated under a different name?: Yes No
Firm’s Website Address:
What % of your firms’ FAs have “Yes” answers on their U’4’s?: %
Have any of your firms’ FA’s been “statutorily disqualified”?: Yes No
Current Clearing Firm:
How Long:
Fidelity bond amount:
Current Clearing Deposit:
Why are you considering a new clearing relationship?:
  

Type of Clearing Requested:

Fully Disclosed
Omnibus
International
Non U.S. Broker Dealer

Type(s) of Business Activities

General Securities
Institutional
Arbitrage
Discount
Underwritings*
Foreign Securities
Market Makers*
Selling Groups*
Proprietary
Annuities/Insurance
*If any of these categories are checked,
please describe the activity fully in the “Notes” section.

Trading Characteristics

Agency Number
of Trades
per Month**		 Average Shares
per Trade**		 Market
Orders (%)		 Limit
Orders (%)		 Average Gross
per Trade**
Listed Equities
OTC
Options
Corporate Bonds
Municipal Bonds
Government Bonds
Mutual Funds
Annuities and Insurance
Other
**Required Information

Principal Number
of Trades
per Month**		 Average Shares
per Trade**		 Market
Orders(%)		 Limit
Orders(%)		 Average Gross
per trade
Listed Equities
OTC
Options
Corporate Bonds
Municipal Bonds
Government Bonds
Mutual Funds
Annuities and Insurance
Other
**Required Information

Annuities

Annuity business done through clearing firm:
Number of new contacts monthly:

Active Account Information

# Cash Accounts:
# Margin Accounts:
# DVP/RVP Accounts:
# Prime Brokerage:
# Qualified Plans:
# Non U.S. Citizen Accounts:
# of Accounts with Private Stock:
# of Day Trader Accounts:
Total Assets:

Balances

Money Market Balances:
Margin Debit Balances:
Free Credit (Cash) Balances:
Total Assets Under Management:

Miscellaneous Operations

Average monthly rate of cancelled trades:
Average extensions of time filed monthly:
Average monthly number of accounts opened:
Number of pledged accounts:
Number of restricted accounts:

Mutual Fund Assets Held at Clearing Firm

Fund Family Name # of Accounts Total $ Value

Mutual Fund Assets Direct at Fund Company

Fund Family Name # of Accounts Total $ Value

What is Your Time Frame for Establishing a New Clearing Relationship?

Immediately
30-90 days
3-6 months
6 months or longer

References

Industry 1:
Industry 2:
Bank:

Miscellaneous

What else should we know about your securities business or any special needs that your firm may have?:

How did you hear about Raymond James Correspondent Clearing Services?:

Notes