Services & Support

Your clients have unique, evolving needs. With that in mind, we’ve built our firm around supporting your ability to meet those needs with precision and versatility.

At Raymond James, more than 4,600 home office professionals serve as an extension of the knowledge, experience and dedication you bring to your practice. These professionals view you as their client, and work hard to ensure you have all the tools and information at your fingertips to provide the highest-caliber service to your clients. Our in-depth resources are positioned specifically to enhance your interactions with investors and strengthen your business. With a knowledgeable, highly accessible support staff working with you, you’ll serve your clients capably and confidently.

Branch Services

When administrative challenges arise, it is vital to the profitability of your practice to resume serving your clients as quickly as possible. That’s why Raymond James provides Branch Services, administered by a team of licensed home-office professionals dedicated to resolving issues and providing the information necessary to help you focus on more pressing tasks.

As your liaison to the home office, Branch Services increases your practice’s efficiency by responding quickly to general inquiries, taking ownership of problem resolution and providing expedient approval for special account requests. These support professionals can even place trades for you while you’re out of the office. You’ll work more confidently knowing the most precise details are being handled professionally and competently.

Legal & Compliance

Raymond James’ Legal department makes your life easier by posting answers to the most commonly asked legal questions. Available on our corporate intranet site, this information is updated regularly and speaks to the situations our advisors face every day.

To protect you and your business, Raymond James Compliance ensures that all applicable FINRA, SEC and state regulations, as well as internal policies, are followed. Compliance advisors conduct on-site audits of offices and monitor trading activities by reviewing mutual funds, annuity switching and discretionary accounts.

Other important functions of the Compliance department include assisting offices with customer complaints and reviewing marketing materials and stationery. Compliance also reviews criteria for the “Firm Element” portion of the FINRA requirements for continuing education and informs you about regulatory and firm procedures through memos and a bi-monthly newsletter.