RAYMOND JAMES INVESTMENT SERVICES LIMITED

• Principal Place of Business

  Raymond James Investment Services Ltd

  Ropemaker Place

  25 Ropemaker Street

  London

  Islington

  EC2Y 9LY

  UNITED KINGDOM

  Phone

  +442037983000

  Web

  https://www.raymondjames.uk.com

• Complaints Contact

  Raymond James Investment Services Ltd

  Ropemaker Place

  25 Ropemaker Street

  London

  Islington

  EC2Y 9LY

  UNITED KINGDOM

  Phone

  +442037983000

• Pension Transfer Advice

  For Eligible Counterparty, Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.
  • · 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.
  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Jeremy James Harben

  IRN JJH01084

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Nov 2017 to 8 Dec 2019)
• Jeremy Jon Dufton

  IRN JJD00011

  • CF30 Customer (17 Dec 2012 to 8 Apr 2016)
• Joan Maura Bootier

  IRN JMB01349

  • CF21 Investment Adviser (11 Apr 2005 to 14 Mar 2006)
• Joe Kyran Thomas Kendall

  IRN JXK00149

  • [FCA CF] Functions requiring qualifications (17 Dec 2020 to 4 Nov 2025)
  • [FCA CF] Client dealing (17 Dec 2020 to 4 Nov 2025)
• Joel Pither

  IRN JXP02091

  • CF30 Customer (21 Nov 2014 to 9 Aug 2017)
• John Alwyn Evans

  IRN JAE01063

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2023)
  • CF30 Customer (11 Aug 2014 to 8 Dec 2019)
• John Christian Redman

  IRN JCR01055

  • CF30 Customer (18 Sep 2013 to 3 Jul 2019)
• John David Butters

  IRN JDB01222

  • CF30 Customer (14 May 2015 to 24 Mar 2016)
• John Furness-Smith

  IRN EJF01059

  • [FCA CF] Client dealing (28 Nov 2022 to 4 Aug 2023)
  • [FCA CF] Functions requiring qualifications (28 Nov 2022 to 4 Aug 2023)
• John George McDakin Simpson

  IRN JGS01051

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 29 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 29 Jun 2021)

• Syndaxi Financial Planning Ltd (no longer appointed)

  FRN 187064 · Appointed 30 Jan 2003 · Until 8 Jul 2016

No changes recorded yet.