RAYMOND JAMES INVESTMENT SERVICES LIMITED
Get an alert when RAYMOND JAMES INVESTMENT SERVICES LIMITED files next
Leroy will email you the moment a new filing lands at Companies House — one short note per filing, nothing else.
Next accounts due
2026-06-30 (in 1mo)
Last filed for 2024-09-30
Confirmation statement due
2026-06-11 (in 1mo)
Last made up 2025-05-28
Watchouts
None on the register
Name history
Renamed 3 times since incorporation
- RAYMOND JAMES INVESTMENT SERVICES LIMITED 2002-08-20 → present
- RAYMOND JAMES KILLIK LIMITED 2000-05-03 → 2002-08-20
- INDEPENDENT BROKER SERVICES LIMITED 1999-09-01 → 2000-05-03
- WHOTREE LIMITED 1999-05-28 → 1999-09-01
Accounts
Audit & accounting basis
- 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 and subsidiary information is drawn from the narrative of the latest annual accounts. 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 |
Public-record activity
Raw counts from Companies House — last 12–24 months
- Filings
- 4
- Capital events
- 2
- Officers appointed
- 0
- Officers resigned
- 0
last 12 months
last 24 months
last 12 months
last 12 months
Direct counts from the register. No score, no rating — see the Filing timeline for the underlying events.
Year-on-year
Latest filed period vs the prior one