Raymond James (USA) Ltd. (RJLU) is a Canadian corporation, headquartered in Vancouver, BC, Canada. It is a wholly owned subsidiary of Raymond James Ltd. (RJL). However, RJLU is broker-dealer registered with FINRA and the SEC. It is also a registered investment advisor, registered with the SEC. While, it accesses the Canadian securities markets, its clients are mainly US residents. It is not registered in Canada as a Canadian dealer. Raymond James Ltd. is the Canadian subsidiary of Raymond James Financial, Inc. Established in 1962, our parent firm made its initial public offering in 1983 and is listed on the New York Stock Exchange using the ticker symbol RJF. Through three broker/dealers, 6,400 financial advisors serve approximately 2.4 million accounts in approximately 2,500 locations throughout the United States, Canada and overseas. In addition, total client assets are approximately $458 billion, of which approximately $62 billion are managed by the firm’s asset management subsidiaries. Raymond James (USA) Ltd. also has a private client-wealth management multi-currency platform. Its primary purpose is to provide access for US residents to the Canadian securities markets and can do so with a multi-currency platform (that allows the clients to hold their assets in foreign denominations). The business is conducted with the US residents by a fully US registered sales force and home office staff. RJLU also caters to the Canadian resident that has a legacy IRA or 401k still in the United States. RJLU’s clearing firm is US-based Pershing LLC.