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

  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.

• Julia Madeleine Young

  IRN JMY01025

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Jun 2023)
  • CF30 Customer (31 Mar 2015 to 11 Sep 2017)
• Julie Ann Clapperton

  IRN JAL00058

  • CF21 Investment Adviser (3 May 2006 to 31 Aug 2007)
• Julie Mary Ung

  IRN JXU00014

  • [FCA CF] Material risk taker (since 24 Sep 2025)
• Kamal Kumar Haria

  IRN KXH00047

  • 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
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Nov 2014 to 8 Dec 2019)
• Karen Linda Vidler

  IRN KLV00002

  • CF30 Customer (1 Nov 2007 to 18 Jun 2008)
  • CF21 Investment Adviser (12 Sep 2007 to 31 Oct 2007)
  • CF27 Investment Management (12 Sep 2007 to 31 Oct 2007)
• Keith Stockdale

  IRN KXS00010

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Nov 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Nov 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (19 Sep 2002 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (8 Aug 2002 to 3 Jul 2003)
  • CF21 Investment Adviser (8 Aug 2002 to 3 Jul 2003)
• Kellie Want

  IRN KJW01069

  • CF21 Investment Adviser (28 Sep 2004 to 1 Mar 2005)
  • CF27 Investment Management (16 Sep 2003 to 1 Mar 2005)
• Kerry Amanda Nicholls

  IRN KAN01017

  • [FCA CF] Significant management (9 Dec 2019 to 30 Oct 2023)
• Kevin Andrew Carreno

  IRN KAC01038

  • Responsible for Insurance Mediation (14 Jan 2005 to 16 Feb 2005)
  • CF11 Money Laundering Reporting (1 Mar 2004 to 16 Feb 2005)
  • CF10 Compliance Oversight (1 Mar 2004 to 16 Feb 2005)
  • CF1 Director (1 Dec 2001 to 16 Feb 2005)
  • CF3 Chief Executive (1 Dec 2001 to 16 Feb 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 16 Feb 2005)
• Kevin Robert Bright

  IRN KRB01037

  • CF21 Investment Adviser (28 Sep 2004 to 21 Dec 2006)
  • CF27 Investment Management (10 Sep 2003 to 21 Dec 2006)

• Syndaxi Financial Planning Ltd (no longer appointed)

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

No changes recorded yet.