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Lanai Financial Solutions

Financial Advice from an Independent Perspective

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A RAYMOND JAMES CLIENT’S BILL OF RIGHTS

  1. You have the right to courteous service – from your financial advisor and all other associates of our firm.
  2. You have the right to select and work with a trustworthy, independent financial advisor who is professionally
    competent, personally dedicated, and who communicates with you on a regular basis about your portfolio.
    You may request information about your advisor’s work history and background, and you may contact your
    state or provincial securities agency for verification.
  3. You have the right to expect financial and investment recommendations based solely upon your unique
    needs and goals, consistent with the objective of enhancing your financial well-being. While the performance
    of investments may not meet your expectations and markets can underperform their historical averages,
    recommendations should be based upon the goal of attaining superior performance in light of the facts
    known at the time of investment.
  4. You have the right to open, consistent communication and to have information presented in clear and
    understandable terms.
  5. You have the right to reasonable, achievable projections of results, understanding that many unforeseen
    factors can frustrate expectations and result in losses, particularly in the short term.
  6. You have the right to reasonable investment alternatives selected based on your individual objectives and
    presented with full disclosure of risks and benefits. Your trade confirmations will reflect any time that you
    initiate an investment decision without the benefit of or against the advice of your financial advisor, or if your
    account is managed by a professional money manager.
  7. You have the right to know all costs and commissions associated with an investment, as well as fees our firm
    charges for services. An exception applies for securities traded in a principal capacity, where commissions
    and trading profits are included in the purchase price. For the latest listing of our fees and charges, visit
    raymondjames.com/services_and_charges.htm or ask your financial advisor.
  8. You have the right to have transactions executed in a timely fashion, at the best available price and with
    prompt reporting. Your statements should reflect all positions and activity in your account. With the exception
    of infrequently traded securities, all positions should be priced as accurately as possible. Fixed income prices
    are often estimated using general formulas.
  9. You have the right to have any errors corrected fully and any complaints addressed promptly. If a problem is
    not resolved to your satisfaction, you may contact the manager of your local office and/or Raymond James’
    international headquarters.
  10. You have the right to limit certain of our sharing of your personal and financial information. We do not sell
    your personal information to anyone. Raymond James only provides information to third parties when
    required by law or regulation or as otherwise provided for in our Privacy Policy.

To Schedule an Appointment

Call (831) 476-7300 or

Contact Us Online

Raymond James financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Please note that not all of the investments and services mentioned are available in every state. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. Contact your local Raymond James office for information and availability.


Links are being provided for information purposes only. Raymond James is not affiliated with and does not endorse, authorize or sponsor any of the listed websites or their respective sponsors. Raymond James is not responsible for the content of any website or the collection or use of information regarding any website's users and/or members.


Raymond James corporate Privacy Notice

www.finra.org and www.sipc.org


Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services offered through Raymond James Financial Services Advisors, Inc. Lanai Financial Solutions is not a registered broker/dealer and is independent of Raymond James Financial Services, Inc.


1066 41st Ave Suite A101, Capitola, CA 95010 · tel: (831) 476-7300

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