Prime Brokerage Prospect Questionnaire Raymond James Employee Name(Required) First Last Employee Email(Required) Fund Contact Name First Last Fund Name/ Beneficial Owner(Required) Additional Fund Names (If Applicable) Please Provide a Sample Portfolio (Excel)(Required)Max. file size: 16 MB.Please Provide a Sample Portfolio for Additional Funds (If Applicable)Max. file size: 16 MB.Investment Advisor (If Applicaple) Total AUM & Overall Fund Equity (If Multi-Primed)(Required) Type of Account(Required) Cash Account Regulation T Portfolio Margin Anticipated Leverage(Required) 2:1 4:1 6:1 Greater than 6:1 Products Traded(Required) Equities Options Futures Forex Corporate Bonds Municipal Bonds Treasury Bonds Detailed Description of Strategy(Required)Please give us a detailed description of your current trading strategy. Projected Volume/ Balances(Required)Please give let us know the volume you plan to execute and projected balances.How Will You Be Executing?(Required)Please give us some insight as to how you will be executing. I.e. OMS, EMS system and venues...Current Prime Relationship(Required) Special Technology Requirements(Required) Questions/ Comments
