Legal & Compliance

The Raymond James Legal department is staffed with over 32 professionals who assist financial institutions and their affiliated financial advisors with legal and regulatory matters that may impact their business. The firm's in-house attorneys have experience and expertise in responding to customer and regulatory inquiries.

The Compliance department of Raymond James has a team of over 70 professionals to ensure that all applicable FINRA, SEC and state regulations are followed. In addition to monitoring trading activities, our compliance advisors conduct on-site examinations of OSJs (Offices of Supervisory Jurisdiction) and sub-branches.