Your rights and responsibilities
as a Raymond James client

What to expect

We believe our clients should have every opportunity to understand the risks, rewards and implications of investment alternatives and services, as well as financial planning and investment strategies offered. This document provides Raymond James clients with information about their rights as investors and is an aid for them to help initiate and maintain a strong working relationship with their financial advisor.


What to bring to your first meeting

We will devote our first meeting to learning everything about your financial situation, your goals and your needs. It is important to bring any documents that may help us understand your overall financial picture. This can not only save time, but also better assist us in developing a financial plan that is unique to you.

Documents we would like you to bring include:

  • A net worth or balance sheet statement
  • Declaration pages from your insurance policies
    (Life, disability, long term care, etc.)
  • Tax returns (previous two years)
  • Wills and trust documents
  • Loan terms (maturity, interest rate, etc.)
  • Investment/bank account statements, IRA and 401(k) statements
  • The completed financial inventory workbook (see below)

Take your financial inventory

Our four-page workbook can also help us get a good picture of your financial situation. If you will, please click on the link below, print out your copy and fill in the blanks. Then be sure to bring it along with your other documents.


See the detailed process we use in serving you

We utilize a clearly defined process for learning and understanding your goals, and then developing and executing an investment strategy and wealth management plan for addressing all aspects of your financial life.

Read about a few of the