CUSTODY & CLEARING

1

Powerful resources, personal relationships.

CUSTODY & CLEARING

2

The right partnership makes all the difference.When it comes to expanding and enhancing your firm’s capabilities, Raymond James Custody & Clearing doesn’t just make virtually anything possible, we make it personal.

Our individualized guidance comes from professionals who understand the unique needs of firms like yours. At Raymond James, more than 3,000 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.

You’ll also find direct access to a full range of services, products and cutting-edge technology to help you grow – all while maintaining the freedom to engage our resources at whatever level you need. Choose from a variety of technology tools, wide ranging fee-based programs and distinctive practice management services, as well as a complete range of business services to assist you in growing your business by recruiting new talent and gaining more share of client assets.

Our robust investment in technology gives you access to comprehensive tools to manage and grow your business – not only designed to improve productivity, but also to give your firm a strategic advantage. What’s more, our integrated platform is backed by personnel dedicated to developing and supporting our technology commitment.

We value expertise and relationships – and know you do too. Which is why we dedicate senior personnel to assist you in strategic opportunities and decisions. This is a relationship business and we continue to grow our relationship through personalized services. We stand ready to provide the guidance to make sure you leverage all the right resources and get the best services to enhance your business.

4 – 5 Specialized support and technology

Dedicated teams and tools to help you thrive

6 A depth of support Learn about something

product focused

6 Strength & stability Our story of profitability

since 1987

Best Wishes,

ROBB COMBS Director, Custody & Clearing

The support you need. The relationship you deserve.Here, you’ll find personal service and direct access to a wide range of products and support to help your firm build their business.

Our team of experienced investment services professionals understands the needs of independent firms. That’s why we provide custom custody and clearing services through truly personalized support, and access to the strength and extensive advisor and client services of a leading wealth management firm.

Your dedicated relationship team stands ready to provide individualized guidance to ensure you’re leveraging the appropriate resources to enhance your firm. While maintaining its own identity, your firm will be given direct access to a full range of programs, products and cutting-edge technology to help you build your business while maintaining the freedom to engage our resources at whatever level you need.

The power to do more. The partner to make it easy.Bringing back-office support front and center – on your terms.

4

* Banking and lending solutions provided by Raymond James Bank, N.A. Raymond James Financial Services, Inc. and Raymond James & Associates, Inc. are affiliated with Raymond James Bank, N.A., a federally chartered national bank.

Since 1982, we’ve grown our business by helping hand-selected businesses grow theirs.

1982

Annual technology investment of $250+ million

$250+ million

More than 4,600 home office associates committed to serving you

4,600 A-LA-CARTE PROGRAMS AND SERVICES

• Fee-based programs

• Mutual funds - wrap programs and robust no-transaction fee program

• Fixed income - access comprehensive services and inventory

• Investment banking

• Research - Equity, fixed income, mutual fund and asset management

• Alternative investments

• Banking & lending*

• Trust & estate planning

• Wealth solutions

• Client and advisor report applications

• Compliance and surveillance

CUSTODY & CLEARING

PERSONALIZED, STATE-OF-THE-ART SUPPORT

• Dedicated relationship managers

• Direct access to specialized experts

• Practice management

• Practice intelligence

• Recruiting assistance

• Regional seminars

• Training

• Transition and onboarding services

• Marketing services

• Specialty services

• Succession planning

• Comprehensive financial planning services

YOUR TOTAL TECHNOLOGY SOLUTION

ADVISOR ACCESS• Customizable central point of interaction with Raymond James

technology.

• Integrated and secure platform with mobility, client management and practice management.

• Fully supports advisor-client collaboration.

CONNECTED CLIENT• User-friendly apps and mobile-optimized sites.

• Complimentary, secure account access anytime and anywhere.

– Investor Access enables account viewing online, goal planning and monitoring, bill pay, fund transfers, shareholder actions and more.

– Vault creates a space to organize personal and financial documents via uploading to this secure online file sharing and content management platform.

5

Investor Access

Goal Planning & Monitoring

6

BY THE NUMBERS

Approximately 7,300 financial advisors

Over 3,000 locations (United States, Canada and abroad)

Approximately $663 billion in total client assets

Since 1987, Raymond James has delivered 119 consecutive quarters of profitability. We credit much of this performance to the firm’s client-first perspective and adherence to its founding core values of professional integrity, advisor independence, and a conservative, long-term approach to investing.

Total revenue shows fiscal year data ending 9/30/2016.

2016 TOTAL REVENUE BY PRIMARY SEGMENTS

Private Client Group 66% Capital Markets 18% Asset Management 7% Raymond James Bank 9%

66%PRIVATE CLIENT

GROUP

Choosing the right partner with the right culture

Is it possible to build profitability on an historic loss of profit? In the case of Raymond James, the answer is yes. That’s because the company was able to turn what was a loss at the time to a big win in demonstrating its dedication to customer service.

When a company says it is dedicated to putting client needs first – even above those of the firm itself – you need merely look at history to prove the validity of the claim. Case in point: When the Dow plunged 508 points on October 19, 1987 – also known as Black Monday – then CEO and Executive Chairman Tom James refused to close the trading desks so clients wouldn’t be stuck in their positions. As a result, Raymond James sacrificed its own profitability in order to protect clients and preserve their assets.

The story of Raymond James profitability since 1987

Past performance is not indicative of future results. The information provided is for informationalpurposes only and is not a solicitation to buy or sell Raymond James Financial stock.

STOCK PRICE

Performance October 1990 to November 2016*

Wells Fargo | WFC

Bank of America | BAC UBS | UBS AG

Morgan Stanley | MS

Raymond James Financial | RJF

S&P 500 | GSPC

Ameriprise Financial | AMP

0%

1K%

2K%

3K%

4K%

5K%

1995 2000 2005 2010

6K%

7K%

8K%

2015

6,000%

7,000%

8,000%

4,000%

5,000%

3,000%

2,000%

1,000%

200520001995 2010 2016

CLIENT FOCUSED, ADVISOR DRIVEN

INTEGRITY

INDEPENDENCE CONSERVATISM

CLIENT FIRST

CUSTODY & CLEARING

Let’s talk.To learn more about what Raymond James Custody & Clearing can offer your firm, visit RJClear.com or call us any time at 888-RJ-Clear.

We’re always here for you.7

INTERNATIONAL HEADQUARTERS: THE RAYMOND JAMES FINANCIAL CENTER

880 CARILLON PARKWAY // ST. PETERSBURG, FL 33716 // 800.248.8863

RJCLEAR.COM

NOT FOR CLIENT USE

© 2017 Raymond James & Associates, Inc., member New York Stock Exchange/SIPC. © 2017 Raymond James Financial Services, Inc., member FINRA/SIPC.Raymond James® is a registered trademark of Raymond James Financial Inc. 17-CORR-0106 JW/KM 11/17