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Specialty Services

In addition to more traditional services, Raymond James offers several other alternatives including:

Rule 144 & 145 Restricted Securities Program

You can arrange loans to company principals against securities that are restricted yet salable. As long as they meet the standards for marginability, your clients can borrow funds using their margin account and/or cash management account as collateral, with no service fees and at a very competitive interest rate. Better yet, there’s no daunting loan committee process, and your clients can establish their own repayment schedules.

Cashless Stock Option Program

This program allows company employees to exercise their stock options with no personal outlay of cash. Raymond James temporarily finances the acquisition of the securities, without high fees or a complicated loan-approval process. Costs associated with these services include the standard commission charged for the sale of shares and any margin interest accrued on the account while the loan is outstanding. There is no charge when the shares are actually purchased.

Direct Transfer to Beneficiaries Service

Direct Transfer to Beneficiaries Service (DTBS) is a legal agreement between an individual and Raymond James that enables an individual’s assets to bypass probate, and be rapidly transferred to the beneficiaries of choice. Assets may, however, still be subject to estate and other taxes.

Prime Brokerage

You can help simplify investing for your high-net-worth clients who work with multiple investment firms by introducing them to Raymond James Prime Brokerage Services - an easy way to consolidate all account statements into one. Prime brokerage accounts provide a centralized clearing facility and custodian for all of your client’s securities positions, regardless of the number of brokers used by your client to execute the transactions. Clients are required to maintain a minimum net equity balance of $500,000 in cash or securities with a ready market in their prime broker trading account. Accounts under the management of a registered investment adviser must maintain a minimum net equity balance of $150,000.