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Information disclosure system
The information disclosed is a copy of the data submitted to the CMVM in compliance with legislation and regulations in force and is the sole responsibility of the respective entity.

Financial intermediaries

UK credit institutions on a transitional regime

Raymond James Financial International Limited

Address:

Broadwalk House 5 Appold Street, EC2A 2AG

Authorised services

Service
Registration date
   
Reception and transmission of orders relating to securities 30/04/2009
Investment research and financial analysis or other forms of general recommendations relating to transactions in financial contracts for differences 30/04/2009
Reception and transmission of orders relating to units in collective investment undertakings 30/04/2009
Reception and transmission of orders relating to options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 30/04/2009
Reception and transmission of orders relating to financial contracts for differences 30/04/2009
Execution of securities orders on behalf of clients 30/04/2009
Execution of money-market instruments orders on behalf of clients 10/05/2013
Execution of orders on behalf of clients relating to units in collective investment undertakingscolectivo 30/04/2009
Execution of orders on behalf of clients relating to options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 30/04/2009
Execution of orders on behalf of clients relating to financial contracts for differences 30/04/2009
Dealing in securities for own account 03/01/2018
Dealing for own account with regard to money market instruments 03/01/2018
Dealing in units in collective investment undertakings for own account 03/01/2018
Dealing for own account with regard to options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 03/01/2018
Dealing for own account with respect to financial contracts for differences 03/01/2018
Securities investment advice 07/02/2017
Investment advice concerning money market instruments 07/02/2017
Investment advice on units in collective investment undertakings 07/02/2017
Investment advice on options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 07/02/2017
Investment advice concerning financial contracts for diferences 07/02/2017
Placing of securities without a firm commitment basis 10/05/2013
Placing of money-market instruments without a firm commitment basis 10/05/2013
Placing of units in collective investment undertakings without a firm commitment basis 10/05/2013
Placing without a firm commitment basis of options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 10/05/2013
Placing of financial contracts for differences without a firm commitment basis 10/05/2013
Advice to companies on capital structure, corporate strategy and related matters and advice and services relating to mergers and the purchase of undertakings 29/01/2019
Foreign exchange services where these services are connected to the provision of investment services 10/05/2013
Investment research and financial analysis or other forms of general recommendations relating to transaction in securities 30/04/2009
Investment research and financial analysis or other forms of general recommendation relating to transactions in money-market instruments 10/05/2013
Investment research and financial analysis or other forms of general recommendation relating to transactions in units in collective investment undertakings 30/04/2009
Investment research and financial analysis or other forms of general recommendation relating to transactions in options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash 30/04/2009
Reception and transmission of orders relating to money-market instruments 10/05/2013