Raymond James Financial International Limited

• Principal Place of Business

  Ropemaker Place

  25 Ropemaker Street

  London

  EC2Y 9LY

  UNITED KINGDOM

  Phone

  +4402037985600

  Web

  https://www.raymondjames.com

• Complaints Contact

  Ropemaker Place

  25 Ropemaker Street

  London

  EC2Y 9LY

  UNITED KINGDOM

  Phone

  +4402037985600

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Jessica Kate Johnston

  IRN JXJ00163

  • [FCA CF] Client dealing (since 1 Oct 2021)
• Jesus Maria Paramo Viqueira

  IRN JXV12850

  • [FCA CF] Client dealing (since 1 Feb 2022)
• Jing Zhu

  IRN JXZ00053

  • [FCA CF] Client dealing (30 Sep 2022 to 17 May 2024)
• Joel Amichai Greenwood

  IRN JXG01406

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2020)
  • CF30 Customer (20 Oct 2017 to 8 Dec 2019)
• John Alexander Clark

  IRN JAC01241

  • CF10 Compliance Oversight (2 Jul 2003 to 16 Nov 2007)
  • CF11 Money Laundering Reporting (2 Jul 2003 to 16 Nov 2007)
• John Congleton Jr Carson

  IRN JCC01238

  • [FCA CF] Material risk taker (since 24 Feb 2023)
  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Oct 2019 to 8 Dec 2019)
  • CF1 Director (23 Nov 2015 to 1 Oct 2019)
• John Nisbet Critchlow

  IRN JNC01027

  • CF30 Customer (1 Nov 2007 to 1 May 2008)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 1 May 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Dec 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Dec 2005)
  • CF1 Director (1 Dec 2001 to 1 May 2008)
• John Onthank

  IRN JBO01007

  • CF21 Investment Adviser (11 Jan 2007 to 8 Jun 2007)
• Jonathan Michael Doyle

  IRN JMD01231

  • CF30 Customer (24 Sep 2012 to 4 Nov 2014)
• Jonathon De Vos

  IRN JXD01758

  • CF30 Customer (1 Apr 2010 to 16 Mar 2015)

• Mr. David Neil O'Keeffe (no longer appointed)

  FRN 590077 · Appointed 23 Oct 2012 · Until 22 Jun 2017

No changes recorded yet.