If you are an investment manager or investment focused financial planner, and you feel ready to pursue your future as an Employed Affiliate with Raymond James, you’ll enjoy a degree of flexibility and control you won’t find in other traditional settings. Reap the rewards of growing and retaining your own client book with a suite of business support providing you with an intuitive administration platform, investor-friendly client reporting, access to market-leading research tools and much more.
Key benefits of Employee Affiliation
Decentralised investment proposition – You create your own investment proposition based on the needs of your clients with regulatory supervision and guidance from our compliance team. We respect autonomy and value your expertise which is why we won’t tell you how to invest your clients’ money.
You will always own your client book, we don’t impose restrictive covenants. You manage your client relationships and they remain yours should you choose to leave us.
Financial Security for you and your clients – As an Employed Affiliate of Raymond James you will have the backing and support of one of the largest financial services firms in the world.
Our Culture – At Raymond James we are people-driven, values-based and future-focused. Our culture is the foundation of our success and what differentiates us from the competition.
Our regulatory compliance and supervision services include:
Supervision of investment management, stockbroking and financial planning activities
Audits as well as desk-based monitoring
Extensive compliance and regulatory guidance as provided on the Raymond James Portal™ – our intranet is provided to all affiliated wealth managers and support staff
FCA authorisation with Raymond James as the authorised firm and wealth managers as Certified Persons
Professional indemnity insurance cover
The Raymond James administration services include access to:
Investment tools and research*
New business processing
In specie transfers
Dealing and settlement services
Direct market access as we are an LSE Member Firm
Broad range of asset classes
Secure online account access
Consolidated client reporting
Multiple tax wrappers
Data export capability
*Research is available via a research aggregation platform. Costs will apply
We are committed to providing wealth managers with a broad range of investment products, tax wrappers, exceptional support and integrated client solutions – along with expertise and support from Raymond James teams to help you build your service and meet the evolving needs of your clients.
We have a genuine understanding of the challenges faced by the firms who work with us, and as such we are fully equipped to offer solutions in a world where regulation is constantly evolving.