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.

• Ricky Andrew Pilgrim

  IRN RAP01119

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 Apr 2009 to 8 Dec 2019)
• Riz Alam

  IRN MRA01079

  • [FCA CF] Client dealing (7 Jun 2023 to 14 Nov 2025)
• Robert Alexander Miller

  IRN RAM01294

  • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2020)
  • CF1 Director (1 Apr 2019 to 8 Dec 2019)
  • CF29 Significant management (31 Mar 2016 to 1 Apr 2019)
• Robert Bryce Nugent

  IRN RBN01002

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2025)
  • CF29 Significant management (16 Nov 2016 to 8 Dec 2019)
  • CF30 Customer (22 Apr 2009 to 8 Dec 2019)
• Robert Heddwyn Thomas

  IRN RHT01041

  • CF30 Customer (10 Feb 2012 to 30 Apr 2014)
• Robert Shuck

  IRN RXS01324

  • CF2 Non Executive Director (1 Dec 2001 to 1 May 2008)
• Roman Rudman

  IRN RXR00098

  • [FCA CF] Client dealing (19 Feb 2020 to 4 Jul 2022)
• Rupert Samuel Guy

  IRN RSG01093

  • [FCA CF] Material risk taker (since 24 Feb 2023)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF29 Significant management (3 Oct 2016 to 8 Dec 2019)
• Sachin Rameshchandra Tulyani

  IRN SRT01082

  • [FCA CF] Client dealing (1 Feb 2022 to 22 Jun 2023)
• Sam Hartley

  IRN SXH00510

  • [FCA CF] Client dealing (since 15 May 2023)

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

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

No changes recorded yet.