Complaint Resolution Policy

Client Concerns

Information for Clients on Raymond James (USA) Ltd.'s Complaint Resolution Policy

Complaint Resolution Policy:

Raymond James (USA) Ltd. ("RJLU") has procedures in place to handle any written or verbal complaint received in a fair and prompt manner. This is a summary of those procedures:

RJLU's policy is to request that all complaints be filed in writing. There may be instances where RJLU receives a verbal complaint from a client which will warrant the same treatment as a written complaint. However, unless it is totally impractical or if there are other compelling reasons not to, clients will normally be advised that we will require their complaint in writing before we can proceed any further. For confidentiality reasons, we will only deal with the client or another individual who has the client's express written authorization to deal with us.

RJLU has appointed its Chief Compliance Officer (CCO) as its Designated Complaints Officer.

How to Contact the Designated Complaints Officer:

Your concern and supporting documents can be submitted by the following methods:

By Calling our Toll Free Number:


By Email To:

By Mail To:

Raymond James (USA) Ltd.
Attn: Compliance Department - Designated Complaints Officer

We acknowledge complaints promptly, generally within 5 business days. Within the acknowledgement, you will be provided the name and contact information of the Complaints & Investigations Officer responsible for handling the complaint.

Assessing the Complaint:

The Complaints & Investigations Officer will conduct a factual investigation and analysis of the matters specific to the complaint. In order to accomplish this, we will gather information including comments from your Advisor addressing the issues raised in the complaint, copies of documentation completed, and any other documentation which may be available (eg. notes, e-mails, etc.). The Complaints & Investigations Officer will review all documentation as well as the comments of both the client and Advisor to assess the merits of the complaint. Additional analysis may be necessary, depending on the nature of the complaint.


Once the investigation has been completed, a written summary of our findings will be prepared and forwarded to you within 90 calendar days. In the event that additional time is required, you will be notified in writing and provided with both an explanation as to why our response has been delayed along with our best estimate of the time required for completion of our response.

If you are dissatisfied with our written response addressing your concerns, you may respond to our letter indicating the issues which you feel were not addressed.

Disclaimer: RJLU is a member of FINRA/SIPC