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.

• Paul Victor Steiner

  IRN PXS00424

  • [FCA CF] Client dealing (15 Sep 2021 to 5 Oct 2024)
• Pedro Mourato

  IRN PXM02167

  • CF30 Customer (24 Sep 2012 to 30 Jan 2015)
• Peter Alan Whitelegg

  IRN PAW01153

  • CF11 Money Laundering Reporting (13 Jul 2012 to 21 May 2014)
  • CF30 Customer (1 Jun 2008 to 17 Jun 2013)
• Peter Derek Kilian Moores

  IRN PDM01098

  • [FCA CF] Material risk taker (24 Feb 2023 to 31 Oct 2025)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2025)
  • SMF1 Chief Executive (9 Dec 2019 to 31 Oct 2025)
  • CF3 Chief Executive (15 Jul 2013 to 8 Dec 2019)
  • CF1 Director (15 Jul 2013 to 8 Dec 2019)
• Philip Jonathan Purcell

  IRN PXP00247

  • [FCA CF] Client dealing (11 May 2022 to 16 May 2025)
• Philippa Parisi-Smiecench

  IRN PFP01009

  • SMF3 Executive Director (since 1 Nov 2025)
  • [FCA CF] Material risk taker (since 27 Aug 2024)
  • [FCA CF] Manager of certification employee (since 27 Aug 2024)
  • [FCA CF] Client dealing (since 16 Nov 2022)
  • [FCA CF] Significant management (27 Aug 2024 to 31 Oct 2025)
• Pratap Thakkar

  IRN PXT01138

  • [FCA CF] Material risk taker (since 24 Feb 2023)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (21 May 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 May 2014 to 8 Dec 2019)
• Premvas Kaur Sull

  IRN PXS01005

  • [FCA CF] Client dealing (since 9 Feb 2026)
• Richard Bonafield Franz

  IRN RBF01012

  • CF28 Systems and controls (1 Nov 2007 to 22 Sep 2016)
  • CF13 Finance (3 Nov 2005 to 31 Oct 2007)
• Richard James Scarrott

  IRN RXS00762

  • [FCA CF] Client dealing (since 6 Oct 2022)

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

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

No changes recorded yet.