1. Raymond James Commission Processing Created By Jay Lanstein Thomas Hobson Nicholas Wong

2. Background Information  Founded in 1962  2200 locations  On the New York Stock Exchange (RJF)  Financial services

3. What is it?  Online Commission Tasks Everything done online  Financial assistant Representatives Commissions Handling Payouts Trade Modifying Trade History Repots

4. Adding Reps  Only IT department can add Reps Rep number Rep title  Reps need an I&E account  Boss = system

5. Net Overrides  Override Gross System  Commission Branch manager is paid %paid I&E account Rep’s Name

6. Net allocation  Multiple Reps  Up to 4 allocations  Must be total to 100%  Similar to Net Overrides inputs

8. Rep Modifying pt1  Deleting Reps manually Drop down menu

9. Rep Modifying pt2  Modify Payout/Ticket Charge Information for rep Edit payout Edit Ticket

10.  Rules 1 or 2 sets the charge  Charge 1 applies to Tier 1 “ “  Charge type Mini/Max or %  Yes button, allows forced overrides.

11. Bulk Charges  Similar to Ticket Charging Convenience Set for all the same ticket

12. Monthly Process  The RJ head sends a spreadsheet Browse and Upload Excel Spreadsheet  Making Changes Trade and expense changes -update files and upload again

13. Commissions  Error protection on – first time  Error protection off – re-uploading/ applying changes

14. Viewing Trades  Viewing commissions of: Single rep Multiple reps  Generate reports Sorting Filtering

16. Generating Rep Summaries and Entry Blotters  Choose months for the production date  Comes in two formats Excel sheet for rep summary Web page for blotter

17. Rep. Restrictions  Sometimes the rep is not allowed to view their production  There is an option to allow them to see it  Restricted because they are under investigation

18. Security  When the report is not completed, the reps get an e-mail telling them this  There are drop down boxes allowing them to see only their rep number If branch manager, they will be able to see their clients rep # also  Superusers have a box that allows them to type in the rep #, not a drop down arrow

19. Sponsorship  Raymond James Stadium  “Kicking for Kids”

20. THANKS FOR BEARING WITH US