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 a couple of 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 93 commercially 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 36,000 client accounts representing total client assets of £7.32 billion (US$9.12 billion) as of 31 March 2017.

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.

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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.

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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.

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Our Affiliation 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.

Financials & Accolades of Raymond James Investment Services here in the UK:
• Supporting over 93 commercially independent practices
• Total client assets of £7.32 billion
• Over 36,000 client accounts since commencing operation in 2001

Raymond James Financial (US) in numbers:
• More than 2,900 locations (US, Canada and overseas)
• Total client assets of approximately $643 billion
• Serving in excess of 3 million client accounts

*Raymond James Investment Services and RJF stats as of 31 March 2017

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 117 Consecutive Quarters of Profitability as of 31 March 2017.

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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.

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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.
Daniel Thompson
Daniel Thompson
Chartered Wealth Manager & Stockbroker
Having obtained a degree in Business and Entrepreneurial Strategy, Daniel went on to complete a Masters in Financial Risk Management at the University of Nottingham. After finishing university, he joined the financial services arm of a major UK financial advice network providing financial guidance on investments, pensions and financial planning.
Joel Pither
Joel Pither
Wealth Manager & Stockbroker
Joel is a qualified Wealth Manager and Stockbroker with a wealth of knowledge in helping clients to understand and realise their financial goals.
Paul Barker
Paul Barker
Head of Branch Operations

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.

 

Georgina Stone
Georgina Stone
Investment Analyst
Georgina joined the team in October 2015 as our in-house Investment Analyst. After obtaining a first class Bachelor’s degree in Business Management and Finance, Georgina then went on to complete a Masters in Finance and Investments with distinction from De Montfort University. She joins us with a wealth of knowledge of the industry and key statistical analytical practices.
Sarah Huffen
Sarah Huffen
Wealth Manager & Stockbroker
Sarah joined us in April 2013 after working in a top boutique hotel where she was praised by colleagues and clients alike for her professional and exceptional customer care. Sarah has recently completed her Securities module and Regulations & Professional Integrity module of the CISI Investment Advice Diploma and is currently working toward the final segment of this qualification.
Sharron Smith
Sharron Smith
Front of House Administrator

Front of House Administrator

Sharron joined the Raymond James team in August 2016. Prior to then she spent a successful ten-year period as a front of house administrator at the busy group head office of a children’s home. During that time, she completed her National Vocational Qualification, a Level 3 Diploma in Business Administration and was often commended for her administrative skills and friendly and professional approach to customer care.

Sharron manages the reception area on a daily basis, ensuring that clients are well catered for. She also organises client events and offers administrative support to the Wealth Managers.

Josh Lowe
Josh Lowe
Wealth Planning Assistant

Wealth Planning Assistant
Josh joined our team in July 2015 after obtaining A-Levels in Law; Business Studies; Financial Studies & English Language. Since starting with Raymond James, Josh has progressed on to completing the Level 4 Investment Advice Diploma from the Chartered Institute for Securities and Investment.

This qualification has given Josh the valuable key knowledge and skill set for providing top-class support to our in-house advisers and will give him the opportunity to one day move in to an advisor role himself.

Josh’s keen eye for detail and his work up to date has made him a valuable member of the team and has enabled him to expand on his knowledge and experience within the financial sector which he will continue to build on.

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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