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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  Show 2 limitations 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.
  • · 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.

• Mark Thomas Abbott

  IRN MTA01061

  • [FCA CF] Significant management (9 Dec 2019 to 1 Oct 2024)
  • CF29 Significant management (31 Mar 2016 to 8 Dec 2019)
• Mathias Zitoli

  IRN MXZ00125

  • [FCA CF] Client dealing (since 23 Feb 2024)
• Matthew Alex Grady

  IRN MXG00561

  • [FCA CF] Client dealing (11 Nov 2022 to 10 Sep 2024)
• Matthew Christopher Waz

  IRN MXW01026

  • [FCA CF] Material risk taker (since 4 Feb 2026)
  • [FCA CF] Manager of certification employee (since 4 Feb 2026)
  • [FCA CF] Significant management (since 24 Dec 2025)
• Matthew Giles Patterson

  IRN MGP01068

  • CF30 Customer (22 Dec 2015 to 31 Oct 2018)
• Maximillian Vandewall-Fortier

  IRN MXV06723

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jun 2021)
  • CF30 Customer (28 Sep 2018 to 8 Dec 2019)
• Mehrin Salim Karim

  IRN MSK01034

  • CF30 Customer (28 May 2012 to 30 Jan 2015)
• Melanie Poupet

  IRN MXP00705

  • [FCA CF] Client dealing (since 23 May 2023)
• Melville Davis Mummert

  IRN MDM01147

  • CF29 Significant management (12 Nov 2018 to 15 Jan 2019)
• Michael Glen Westcott

  IRN MGW01102

  • CF29 Significant management (2 Nov 2016 to 29 Aug 2019)
  • CF1 Director (14 Apr 2009 to 2 Nov 2016)

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

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

No changes recorded yet.