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.

• Louisa Alice Clare Codrington

  IRN LAD01094

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Aug 2016 to 8 Dec 2019)
• Luciano Biasi

  IRN LXB01163

  • CF21 Investment Adviser (1 Dec 2001 to 20 Nov 2005)
• Lucy Victoria Sharman

  IRN LXS56644

  • [FCA CF] Client dealing (since 1 Oct 2021)
• Luis Rosillo Rein

  IRN LXR01092

  • CF30 Customer (1 Nov 2007 to 22 Jun 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Maha Heneine

  IRN MXH02158

  • CF30 Customer (15 Mar 2010 to 21 Jun 2013)
• Malcolm Edward Claridge Horner

  IRN MEH01147

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
  • CF30 Customer (30 Oct 2017 to 8 Dec 2019)
• Marco Iginio Bonelli

  IRN MIB01018

  • CF30 Customer (1 Nov 2007 to 2 Sep 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Marina Ryabokon

  IRN MXR02086

  • CF30 Customer (16 Jul 2012 to 31 Dec 2012)
• Mark Barrington Abbott

  IRN MBA01010

  • CF21 Investment Adviser (1 Dec 2001 to 9 Feb 2006)
• Mark Nicholas Lontchar Jr

  IRN MNL01010

  • CF1 Director (2 Apr 2009 to 2 Mar 2013)
  • CF10 Compliance Oversight (14 Dec 2007 to 15 Feb 2012)

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

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

No changes recorded yet.