UK Companies House feature
RAYMOND JAMES INVESTMENT SERVICES LIMITED
Profile
- Company number
- 03779657
- Status
- Active
- Incorporation
- 1999-05-28
- Last accounts made up
- 2024-09-30
- Account category
- FULL
- Primary SIC
- 64999
- Hubs
- UK Fintech
Accounts
Pending extraction
No iXBRL extracted yet for this company.
Audit & accounting basis
From AI-extracted PDF accounts
- Accounting basis
- FRS 102
- Reporting scope
- Standalone (parent only)
- Auditor
- KPMG LLP
- Audit opinion
- Unqualified (clean)
- Going concern
- Affirmed
“The Company has sufficient capital and liquidity resilience and remains well positioned for growth. The Directors have conducted a detailed assessment of the entity's ability to continue as a going concern. In making their assessment, the Directors have considered the principal risks of the Company and have prepared business plans and cash flow forecasts as well as reviewing the capital, liquidity and financial position of the Company over the going concern review period.”
Significant events
- “Raymond James agreed to a Voluntary Application for Imposition of Requirements ("VREQ") with the FCA that prohibits the onboarding of new branches or wealth managers without the prior consent of the FCA. The Directors do not expect this VREQ to have a material impact on our results”
- “The Company has not made any payments during the period in relation to a client redress matter identified in 2023 as current provisioning is deemed appropriate.”
- “The Company has commenced the positive step of integrating with Charles Stanley.”
- “During the year, the Company continued to recognise a provision of £2.1 million for client compensation as a result of past events. Client compensations were related to a single wealth manager who is no longer with Raymond James and payments are expected to be made within the next twelve months but the amount and timing of payments are uncertain.”
Auditor / going-concern / subsidiary information is extracted from the PDF version of the latest annual accounts and is not tagged in iXBRL. About these numbers
People
9 active · 19 resigned
| Name | Role | Appointed | Born | Nationality |
|---|---|---|---|---|
| UNG, Julie Mary | Secretary | 2024-04-01 | — | — |
| ALLISON, Paul Dixon | Director | 2015-04-23 | Feb 1956 | Canadian |
| CAMPBELL, Marcia Dominic | Director | 2024-02-01 | Mar 1959 | British |
| ELWYN, Tashtego | Director | 2018-02-26 | Mar 1971 | American |
| GROOTENHUIS, Hugh John | Director | 2024-02-01 | Apr 1958 | British |
| HAMPTON, Francesca Margaret | Director | 2024-03-01 | Mar 1970 | British |
| KINNEY PRITCHARD, Sandy | Director | 2024-03-01 | May 1958 | Irish |
| MOORES, Peter Derek Kilian | Director | 2005-02-21 | Jul 1967 | Irish |
| WAN, Gala | Director | 2024-02-01 | Apr 1980 | American |
Show 19 resigned officers
| Name | Role | Appointed | Resigned |
|---|---|---|---|
| BATESON, Anne Rosalind | Nominee Secretary | 1999-05-28 | 1999-09-01 |
| CARRENO, Kevin Andrew | Secretary | 2004-03-01 | 2005-02-21 |
| COUCH, David Paul | Secretary | 1999-09-01 | 2001-05-01 |
| ISLAM, Nazibul | Secretary | 2005-02-21 | 2024-04-01 |
| JACKSON, Danny Robert | Secretary | 2002-05-01 | 2004-03-01 |
| LATTO, Stuart Matheson | Secretary | 2001-05-01 | 2002-04-30 |
| BEDFORD, Terence William | Director | 2000-02-28 | 2007-03-29 |
| CARRENO, Kevin Andrew | Director | 2000-02-28 | 2005-02-21 |
| COUCH, David Paul | Director | 1999-09-01 | 2005-07-18 |
| DEACON, Christopher Clifford | Director | 1999-09-01 | 2000-02-28 |
| HELCK, Chester Bee | Director | 2010-11-11 | 2014-02-21 |
| HELCK, Chester Bee | Director | 2003-11-14 | 2005-07-18 |
| KILLIK, Paul Geoffrey | Director | 1999-09-01 | 2005-07-18 |
| LAI, Poh Lim | Nominee Director | 1999-05-28 | 1999-09-01 |
| MILLER III, Robert Alexander | Director | 2007-03-29 | 2018-03-05 |
| NEALE, Graham Paul | Director | 2010-11-11 | 2011-12-22 |
| ORR, Matthew Nicholson | Director | 1999-09-01 | 2005-07-18 |
| POOLE, Cynthia Jones | Director | 2023-04-28 | 2024-04-15 |
| PUTNAM, John Stephen | Director | 2000-02-28 | 2005-07-18 |
Ownership
Persons with significant control
| Name | Kind | Nature of control | Notified | Status |
|---|---|---|---|---|
| Raymond James Financial Inc. | Corporate entity | Shares 75–100% | 2016-04-06 | Active |
Filing timeline
Last 20 of 203 total filings
| Date | Type | Category | Description |
|---|---|---|---|
| 2025-09-19 | SH01 | capital | capital allotment shares |
| 2025-06-27 | CS01 | confirmation-statement | confirmation statement with updates |
| 2025-06-19 | AA | accounts | accounts with accounts type full |
| 2025-05-15 | SH01 | capital | capital allotment shares |
| 2024-06-27 | AA | accounts | accounts with accounts type full |
| 2024-06-18 | CS01 | confirmation-statement | confirmation statement with updates |
| 2024-06-11 | CH01 | officers | change person director company with change date |
| 2024-04-15 | TM01 | officers | termination director company with name termination date |
| 2024-04-10 | AP03 | officers | appoint person secretary company with name date |
| 2024-04-10 | TM02 | officers | termination secretary company with name termination date |
| 2024-03-13 | CH01 | officers | change person director company with change date |
| 2024-03-11 | AP01 | officers | appoint person director company with name date |
| 2024-03-08 | AP01 | officers | appoint person director company with name date |
| 2024-02-07 | AP01 | officers | appoint person director company with name date |
| 2024-02-07 | AP01 | officers | appoint person director company with name date |
| 2024-02-07 | AP01 | officers | appoint person director company with name date |
| 2023-07-03 | AA | accounts | accounts with accounts type full |
| 2023-05-30 | CS01 | confirmation-statement | confirmation statement with no updates |
| 2023-05-09 | AP01 | officers | appoint person director company with name date |
| 2022-06-24 | AA | accounts | accounts with accounts type full |
Credit score
Altman Z″ — composite of working capital, retained earnings, EBIT, and leverage
Credit score requires extracted accounts data.
Activity Score
Filings velocity, capital events, officer churn, accounts trajectory
Activity Score not yet computed for this company.