Transcription of IMPORTANT CLIENT INFORMATION
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IMPORTANT CLIENT INFORMATION
IMPORTANT CLIENT INFORMATIOND ecember 11, 2 021 TABLE OF CONTENTSS ection I Raymond James ..3 Standard of Conduct Regulation Best Interest ..3 Capacity ..3 Conflicts of Interest ..4 Our Affiliated Entities ..4 Section II account Types and Scope of Services ..5 brokerage Accounts ..5 Advisory Accounts ..5 account Monitoring ..6 Investment Approach ..6 Section III Compensation, Costs, and Fees ..6 Costs and Fees ..6 brokerage Commissions ..6 Advisory Fees ..7 Product Costs and Fees ..7 Conflicts Related to Compensation ..7 Other Costs and Fees ..8 Section IV Investment Products and Services ..10 Understanding Investment Risks ..11 Investment Products & Services .. 12 Fixed Income ..13 Unit Investment Trusts (UITs) ..17 Mutual Funds ..19 Closed-End Funds ..21 Exchange Traded Products ..22 Alternative Investments ..24 Structured Investments ..26 Annuities and Insurance Products ..28 Options ..29 Wealth Planning & Consulting Services.
Regardless of your financial professional’s title, all recommendations regardingyour brokerage account will be made in a brokerdealer capacity, and all - investment advice regarding youradvisory account will be made in an investment advisory capacity. When your financial professional makes a recommendation or provides
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