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.

• John Leslie Wright

  IRN JLW01124

  • CF30 Customer (3 May 2011 to 10 Dec 2012)
• John Paul Gavaghan

  IRN JPG01152

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Jan 2014 to 8 Dec 2019)
• John Stephen Eckersley

  IRN JSE01015

  • CF21 Investment Adviser (27 Sep 2004 to 4 Apr 2006)
  • CF27 Investment Management (5 Jun 2002 to 8 May 2006)
• John Stephen Putnam

  IRN JSP01053

  • CF2 Non Executive Director (1 Dec 2001 to 18 Jul 2005)
• Johnathan Edward Dance

  IRN JED01067

  • CF30 Customer (11 Aug 2010 to 17 Nov 2015)
• Jolyon Everitt

  IRN JXE01157

  • CF26 Customer Trading (28 Aug 2002 to 1 Aug 2005)
• Jonathan Benarroch

  IRN JXB00442

  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not 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 17 Dec 2020)
  • [FCA CF] Client dealing (since 17 Dec 2020)
• Jonathan Charles Blain

  IRN JCB00031

  • [FCA CF] Client dealing (4 Feb 2020 to 8 Jun 2023)
  • [FCA CF] Functions requiring qualifications (4 Feb 2020 to 8 Jun 2023)
• Jonathan Crisp

  IRN JXC03229

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Mar 2022)
  • CF30 Customer (13 Jul 2018 to 8 Dec 2019)
• Jonathan David Mack

  IRN JDM01251

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 19 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 19 Mar 2020)

• Syndaxi Financial Planning Ltd (no longer appointed)

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

No changes recorded yet.