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.

• Daniel Thomas Acton

  IRN DTA01022

  • CF30 Customer (22 Oct 2012 to 2 Feb 2016)
• Darius Alexander Craton

  IRN DAC01288

  • [FCA CF] Client dealing (since 1 Feb 2022)
• David Andrew Joynt

  IRN DAJ01105

  • [FCA CF] Client dealing (since 12 Jul 2023)
• David Antony Paris

  IRN DAP01159

  • CF29 Significant management (25 May 2016 to 9 Sep 2019)
  • CF11 Money Laundering Reporting (2 Jan 2009 to 17 Jul 2012)
• David Augustin Mengisen

  IRN DAM01194

  • CF30 Customer (14 Jan 2013 to 30 Jan 2015)
• David De Luca

  IRN DXD00099

  • [FCA CF] Material risk taker (24 Feb 2023 to 1 Oct 2024)
  • [FCA CF] Significant management (29 Apr 2020 to 1 Oct 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Oct 2024)
• David Malcolm Ditchfield

  IRN DMD01044

  • CF30 Customer (1 Nov 2007 to 17 Jun 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David Neil O'Keeffe

  IRN DNO01001

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (26 Oct 2012 to 8 Dec 2019)
• David Stephen Lewis

  IRN DSL01018

  • CF30 Customer (2 Apr 2013 to 30 Jun 2019)
• David Strydom

  IRN DXS24386

  • [FCA CF] Material risk taker (24 Feb 2023 to 1 Dec 2025)
  • [FCA CF] Significant management (16 Oct 2020 to 1 Dec 2025)

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

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

No changes recorded yet.