Legal


Privacy Notice

Raymond James (USA) Ltd.
Facts What does Raymond James do with your personal information?
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:
  • Social Security number and investment experience
  • Assets and income
  • Account balances and account transactions
When you are no longer our customer, we continue to share your information as described in this notice.
How? All financial companies need to share customer's personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer's personal information; the reasons Raymond James chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information Does Raymond James share? Can you limit this sharing?
For our everyday business purposes - such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No
For our marketing purposes - to offer our products and services to you Yes No
For joint marketing with other financial companies No We don't share
For our affiliates' everyday business purposes - information about your transactions and experiences Yes No
For our affiliates' everyday business purposes - information about your creditworthiness No We don't share
For our affiliates to market to you No We don't share
For nonaffiliates to market to you No We don't share

Questions? Call 1-877-570-7558 or go to www.rjlu.com

Who we are
Who is providing this notice? Raymond James (USA) Ltd.

What we do
How does Raymond James protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does Raymond James collect my personal information? We collect your personal information, for example, when you
  • open an account or perform transactions
  • make a wire transfer or tell us where to send money
  • tell us about your investment or retirement portfolio
We also collect your personal information from others, such as credit bureaus, affiliates and other companies.
Why can't I limit all sharing? Federal law gives you the right to limit only
  • sharing for affiliates' everyday business purposes – information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffiliates to market to you
State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.

Definitions
Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies.
Our affiliates include companies with a Raymond James name.
Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies.
Raymond James does not share with nonaffiliates so they can market to you.
Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
Our joint marketing partners may include banks and credit unions.

Other important information
Financial advisors ("FA") may change brokerage and/or investment advisory firms and non-public personal information collected by your FA may be provided by your FA to the new firm so your FA can continue to service your account(s) at the new firm. If you do not want your financial advisor to use or transfer this information, please call 1-877-570-7558 to opt out of this sharing. Opt-in states such as California and Vermont require your affirmative consent to share your non-public information with the FA's new firm, and in those states you must give your written consent before the FA can take your non-public information with him or her. You can withdraw this consent at any time by contacting 1-877-570-7558.