About Us

At the Raymond James Market Harborough & Oakham branches, we provide the intimacy of a small local practice backed by the resources and financial strength of a large financial services organisation. We are focused on delivering a proactive and personalised wealth management service to help our clients achieve what is important to them. We understand the financial needs of successful people and have a deep knowledge of investment principles, tax rules and wealth structuring.

Our offices are conveniently located in the heart of two market towns, where we provide local advice based on global research.

Though the name may be new to you Raymond James is a fast growing wealth management business, supporting 109 independent practices located throughout the UK, representing a mix of well-regarded private client investment managers and investment focused financial planners. Raymond James in the UK commenced operation in 2001 and now have over 34,000 client accounts representing total client assets of £9.4 billion as of 31st  December 2018.

Our distinctive service includes Wealth Management, Stockbroking and Financial Advice provided by our own dedicated team of experts. If you value being involved in the investment process, understanding where your money is invested and why, then one of our qualified financial advisers would be delighted to see how we could help you reach your financial goals.

What Our Clients Have To Say About Us

In a complex and changing world our clients find our personal and straightforward approach to investing refreshing. We plan to work with you over the long term and build a relationship of trust, where you can have confidence in the advice you receive.

From our local offices, we provide an investment management service which involves the professional management of a variety of securities such as Equities, Gilts, Bonds, Exchange Traded Funds and Collective Funds in order to try and meet the specific goals of our investors. This service integrates elements of fundamental financial analysis, asset allocation, investment selection and ongoing monitoring of investments.

If you like being treated as an individual, and want to receive a personalised service, then give us a call or visit one of our local offices to find out if we can help you.


Vision and Values

Our investment approach is driven by time-tested principles of focussed quality research, portfolio diversification and a disciplined long-term time horizon.

In an ever changing market, we still believe in building portfolios of enduring quality and helping clients to try and avoid the pitfalls that erode wealth.

Our Values

  • Placing investors’ needs first
  • Honesty & Integrity
  • Continuity & Stability

Our Vision

  • Offering a service of choice
  • Working with clients and their families to help them reach their financial goals
  • Creating a legacy of excellence

We take great pride in the growth of our business that has come through referrals from satisfied clients.


Our Relationship with Raymond James

Raymond James in Market Harborough and Oakham are regional branches run as commercially independent investment management practices under a contract for services with Raymond James based in London.

Raymond James provides full support services, which includes account opening, asset transfers, trading systems, research tools, access to the custodian, technology support, client reporting, compliance and supervision, FCA authorisation and professional indemnity cover. All other matters related to portfolio management and client care are conducted from one of our local offices, which are the primary point of contact for clients.

Our core investment management activities are fully supported by an efficient and trustworthy platform for all administration, cash handling, custodian and compliance services. Raymond James also provides the online access portal, ‘Investor Access™’ where clients and their professional advisers may view their portfolios 24 hours a day.

Despite the financial turmoil of the past few years, Raymond James has reinforced its reputation as a pillar of stability for wealth managers and their clients. We believe that success has a lot to do with the firm’s unwavering commitment to its founding core values of putting clients first, conservatism and integrity.


*Raymond James Investment Services and RJF stats as of 31 March 2018

Our US parent company, Raymond James Financial, Inc. (RJF) has a long and established history. In 2012 it celebrated its 50th anniversary of providing excellent support to wealth managers like ourselves seeking to help clients reach their long term financial goals.

Raymond James Financial Continues to Grow as it Surpasses 121 Consecutive Quarters of Profitability as of 31 March 2018.

This milestone is a reflection of our Parent Company’s long-term vision and conservative business approach, as well as a testament to RJF’s strength and stability. RJF’s diversified business model has allowed the firm to reach this achievement – over and over again – and despite sometimes tumultuous markets.


Meet the Team

Tom Spain
Tom Spain
Chartered Wealth Manager, Branch Principal & Stockbroker
Tom Spain joined Raymond James Investment Services in December 2009 after working at Edward Jones Investments as a Stockbroker and Financial Adviser, where he had established the Market Harborough branch which offers whole of market investment advice.

Paul Barker
Paul Barker
Head of Branch Operations

With over 25 years’ experience at some of the UK’s major financial services organisations including fund managers, insurers, banks and building societies, Paul brings a wealth of knowledge in both the technical financial planning disciplines as well as the support functions of human resources, learning and development, and operational management.

Having joined the Raymond James team in 2016, Paul has a wide portfolio of responsibilities including day to day staff management, recruitment and development as well as for implementing the plans for the long-term sustainable growth of the business.

Paul is a Chartered Financial Planner and a Fellow of the Personal Finance Society as well as being a member of the Chartered Institute of Personnel and Development.

A strong advocate of continuing professional development, Paul is currently studying for a Masters in Financial Planning and Business Management.


Amer Nazir
Amer Nazir
Wealth Manager

Amer joined the Raymond James team following our internship programme in July 2017, after graduating with a Bachelor’s degree in Economics from De Montfort University.

During the 12-week internship programme Amer demonstrated his strong work ethic and academic ability through completing the majority of his Chartered Insurance Institute examinations. Amer, in his previous role of Wealth Planning Assistant provided administrative support to our Wealth Managers, while shadowing client appointments to further develop his knowledge and experience. Having now transitioned into a Wealth Manager role, Amer helps people on their personal investment journey at our Oakham office.

Amer has completed his Diploma in Regulated Financial Planning from the Chartered Insurance Institute and Advanced Pensions exam.

Sophie Bass
Sophie Bass
Wealth Manager

Sophie joined the Raymond James team following our internship programme in July 2017, after deciding to leave teaching to pursue a career within the financial services sector. With a First-Class Honours degree in Mathematics with Finance, Sophie utilised her skills and knowledge to qualify as a Secondary School Mathematics Teacher; a role which she held for a number of years.

After excelling during the 12-week internship programme, Sophie progressed to the role of Wealth Planning Assistant, providing support to the in-house Wealth Managers by assisting in appointments and helping clients on a daily basis with any queries they may have. This role helped develop her knowledge and experience within investment management, and has prepared her for taking on her new role of Wealth Manager. Sophie now helps people at our Market Harborough office on their personal investment journey.

Sophie excelled achieving her Certificate in Discretionary Management and more recently, her Diploma in Regulated Financial Planning from the Chartered Insurance Institute and Advanced Pensions exam.


Treating Customers Fairly

Treating Customers Fairly is a key Financial Conduct Authority (FCA) initiative and, as customers are at the heart of our business, we measure their satisfaction in various ways.

The FCA has identified six ‘Consumer Outcomes’ that it wishes to see; these are set out below.  Against each of them we have detailed our ‘thought’ as well as adhering to Raymond James’ ‘corporate mindset’.

  • Consumers can be confident that they are dealing with a firm where the fair treatment of customers is central to the corporate culture
  • Products and services marketed and sold in the retail market are designed to meet the needs of identified consumer groups and are targeted accordingly
  • Consumers are provided with clear information and are kept appropriately informed before, during and after the point of sale
  • Where consumers receive advice, the advice is suitable and takes account of their circumstances
  • Consumers are provided with products that perform as firms have led them to expect, and the associated service is of an acceptable standard and as they have been led to expect
  • Consumers do not face unreasonable post-sale barriers imposed by firms to change product, switch provider, submit a claim or make a complaint
Client satisfaction is at the heart of our business in line with the Raymond James T&C scheme we deliver clear fair and not misleading information to our clients having fully assessed the suitability of any advice provided.
Every client is an Individual and will be treated accordingly.
We will ensure all clients clearly understand the investment advice that is being given and all due care will be taken to make sure client understanding and agreement is reached.
All products will be assessed as suitable with ongoing reviews to ensure this is maintained.
Our services will be fair and transparent and any client queries will be addressed in a timely manner.

"At Raymond James Market Harborough I have always been made to feel that my investments are in safe hands. Here you are not just an account number and as a client you are well looked after and valued. I would never hesitate to recommend their services be your portfolio large or small."

Tony Johnson, Kibworth Beauchamp