Broker/Dealer Checklist

We understand choosing a firm that suits your professional standards and unique business style requires dilligent information gathering and careful evaluation. The following checklist can help you compare Raymond James with other broker/dealers you may be considering as you contemplate your next career move.

CHOICE OF PAYOUT PLANS			yes   no		yes   no
SELF-CLEARING			yes   no		yes   no
PRODUCTS & SERVICES: Internal & External Equity Research			yes   no		yes   no
Internal Mutual Fund Research			yes   no		yes   no
Asset Management Programs			yes   no		yes   no
Fee-Based Programs			yes   no		yes   no
No-Load Mutual Funds			yes   no		yes   no
Insurance General Agency			yes   no		yes   no
Bank Services			yes   no		yes   no
Trust Services			yes   no		yes   no
Investment Banking Services			yes   no		yes   no
Rule 144 & 145 Stock Program			yes   no		yes   no
Cashless Stock Option Program			yes   no		yes   no
Transfer on Death (TOD) Accounts			yes   no		yes   no
Prime Brokerage System			yes   no		yes   no
Alternative Investments for High-Net-Worth Clients			yes   no		yes   no
AUTOMATION SERVICES: Real-Time Quote Service			yes   no		yes   no
Private Network			yes   no		yes   no
On-line Order Entry Systems			yes   no		yes   no
In-house Performance Reporting Systems			yes   no		yes   no
Data Downloads for 3rd Party Portfolio Management Systems			yes   no		yes   no
Integrated Client Relationship Management System			yes   no		yes   no
Real-Time Client Account Access			yes   no		yes   no
Industry-Leading Client Statements			yes   no		yes   no
Document Management System			yes   no		yes   no
Information Systems Consulting			yes   no		yes   no
Technical Support Center on a Toll-free Number			yes   no		yes   no
Financial Planning Software			yes   no		yes   no
Asset Allocation Software			yes   no		yes   no
Online Account Access for Clients			yes   no		yes   no
MARKETING SERVICES: National TV & Radio Advertising			yes   no		yes   no
Marketing Materials Provided:
Client Brochure			yes   no		yes   no
Client Newsletter			yes   no		yes   no
Ad Slicks, Press Releases, Radio Scripts & Article Reprints			yes   no		yes   no
Reprints			yes   no		yes   no
In-house Advertising Agency			yes   no		yes   no
Ghostwritten News Articles			yes   no		yes   no
Internal Marketing Newsletter for Financial Advisors			yes   no		yes   no
Professional Referral Program			yes   no		yes   no
Charitable Partners Program			yes   no		yes   no
Personal Web Sites			yes   no		yes   no
TRANSITION SERVICES: Dedicated Transition Management Department			yes   no		yes   no
Personal Transition Consultant			yes   no		yes   no
Personal Technology Consultant			yes   no		yes   no
Education Orientations Including:
Account Types/Services			yes   no		yes   no
Compliance			yes   no		yes   no
Documentation			yes   no		yes   no
Operations			yes   no		yes   no
Outside Vendor Partnerships			yes   no		yes   no
EDUCATION: National and Regional Education Conferences			yes   no		yes   no
Continuing Education Credits for NASD Firm Element, Insurance, CPA, CFP®			yes   no		yes   no
Specialized Education Courses e.g., Financial Planning, Qualified Retirement Plans, Trust & Estate Planning			yes   no		yes   no
Operations Seminar			yes   no		yes   no
Online Education			yes   no		yes   no