Management Team
Peter Moores
As Chief Executive Officer, Peter is primarily responsible for delivering regulatory, operational and commercial support to investment advisers. He is also on the board of directors for Raymond James Investment Services.
Career History
Peter Moores was born in Dublin, Ireland. He read Business Studies at Trinity College, Dublin and was conferred with both a B.B.S (hons) and an M.A. degree. Peter has also completed executive education programmes at Northwestern University’s Kellogg School of Management, Stanford University’s Graduate School of Business and the London Business School.
In 1989 he joined Chase Manhattan Bank in New York where he completed both the Associate Development Programme and the Financial Analyst (Credit) Programme. Peter spent 10 years working at Chase Manhattan in New York, Frankfurt and London formerly as a Relationship Manager, Chase International Institutional and the latter four years in Chase Asset Management & Mutual Funds as Vice President, Regional Sales Director - Europe.
In 1999, he joined DAB bank in Munich, Germany, currently Europe's largest discount broker, as Head of Group Development. In February 2002, Peter was seconded to DAB's UK subsidiary, SELFtrade UK as Managing Director and Senior Country Officer. SELFtrade Group was sold to Societe Generale (SG) Group in March 2003 and Peter continued to manage the entity on behalf of the new owners. SELFtrade is a leading and award winning discount broker in the UK, providing sharedealing services both directly to the retail community and indirectly through financial institutions.
Peter Moores joined RJIS in December 2004 as Managing Director and became CEO in February 2005. Peter is a committee member of the Securities and Investment Institute’s Wealth Management Forum and member of the Institute of Directors. Peter is also a mentor to start up businesses in London Business School’s Summer Entrepreneurship Programme.
Cynthia Poole
As Director of Relationship Management and Business Support, Cynthia Poole and her team are the principal contacts for all branches and firms affiliated with Raymond James Investment Services through our Independent Contracting, Professional Partners and Wrap Platform business models. Cynthia’s department is responsible for Relationship Management, including Transitions and Client Services, Training and Development and Marketing.
Career History
Cynthia is originally from Georgia, USA. She holds a Bachelor’s Degree in Business Administration from Auburn University. Cynthia has also completed INSEAD’s Competitive Strategy Executive Education course to compliment her 20+ years’ experience in sales and relationship management roles in the financial services industry.
In 1983 she joined First Atlanta Bank in Atlanta, which was subsequently purchased by Wachovia, where she completed the Management Associate Training Program receiving accreditation in both credit analysis and non credit services. She advanced through several positions, moving to Wachovia's New York office as Vice President, Corporate Banking Division. She joined Chase Manhattan in New York in 1990 where she became Vice President and Sales Manager in the Cash Management Division.
Following a career break when she was a full time mother, Cynthia moved to London and joined Citibank International where she developed investment and banking business with private clients.
Cynthia joined RJIS in January 2002 as Client Relationship Manager, assumed the role of Head of Business Support in May 2003 and was appointed Director of Business Support in March 2005. Her responsibilities were expanded in October 2006 when she became Director of the Relationship Management and Business Support Department.
Cynthia holds the General Securities and Derivatives Representative qualification as well as the Financial Planning Certificate. She is an Affiliate of the Securities and Investment Institute (ASI) and also represents RJIS on the SII’s Certificate in Investment Management panel and the SII’s Certificate Programme Qualifications Assessments Board.
David Hazelton
David Hazelton joined Raymond James Investment Services in June 2006 as Head of Business Development, with the responsibility for developing our adviser base. David brought with him a wealth of knowledge of the financial advisory marketplace, and more recently, the private banking arena.
Career History
David started his career with Equity and Law (now part of the Axa Group) in the administration team before moving into sales as a broker consultant. He then spent 17 years in the Allied Dunbar IFA Division in various roles, progressing from Broker Consultant to Sales Manager, Regional Sales Manager and finally Deputy Sales Director. He was actively involved in the merger of Allied Dunbar's IFA division with the Eagle Star and Zurich Life sales teams to create the Zurich IFA Group (ZIFA).
In 2001 he left ZIFA to help establish Old Mutual's new fund supermarket Selestia. As Sales Director he had main board responsibility for recruiting and managing the Selestia sales team as well helping to develop the proposition and infrastructure of the new company. After 2 years David left Selestia and subsequently joined Dexia Private Banking as Head of Financial Planning, with responsibility for product development for high net worth investors, as well as providing investment advice for clients of the bank. David holds the Financial Planning Certificate.
David was also appointed Deputy Chairman of the Tax Incentivised Savings Association (TISA) Distribution Advisory Council in November 2007. The Council serves the needs of senior distribution figures from the widest range within the financial services industry in the UK, to debate topical issues in confidence and formulate responses on behalf of TISA.
Naz Islam
As Head of Finance & Company Secretary, Naz is responsible for the regulatory and financial management affairs of Raymond James Investment Services. His department is also responsible for the collection, reconciliation and payment of branches and affiliated firms’ revenues on a timely and accurate fashion.
Career History
Naz holds a Bachelor's Degree in Accountancy and Taxation from London Guildhall University. He is a qualified Accountant and is a member of the Association of Chartered Certified Accountants. Naz has also completed various INSEAD & London Business School Executive Education Programmes to compliment his 10+ years' experience in the financial services industry.
In April 1998, Naz joined Natwest Bank in London, which was subsequently taken over by Royal Bank of Scotland, as Management Accountant taking responsibility for transfer pricing and the recovery of costs for Technology Services exceeding £300m annually.
In November 1999, he joined City Group in London, as Group Accountant overseeing the preparation of management reports and statutory accounts in accordance with International Accounting Standards and ensuring compliance with the requirements of the various stock exchanges for a number of holding and subsidiary companies.
Naz joined RJIS in August of 2003 as Finance and Audit Manager. Shortly after joining he was promoted to the role of Head of Finance and Company Secretary.
Stuart Wright
As Associate Director and Head of Operations and Product Management, Stuart and his team are responsible for Dealing, Settlements and all aspects of Operations Administration as well as Product Management for Raymond James Investment Services.
Career History
Stuart joined RJIS in early 2002 as Operations Manager, having spent over 5 years working in various roles at Pershing Securities Limited. During his time at Pershing, Stuart worked in many of the operational areas. His final role was Assistant Vice President in the Pershing Client Relationship Department, responsible for servicing the needs of Pershing’s Correspondent firms. Stuart brought with him detailed knowledge of the Pershing systems and the operational and settlement processes required at RJIS.
Stuart graduated from the University of Portsmouth in 1996, with a BA (Hons) in Economics majoring in Business Economics and has recently attended an executive education programme at Stanford University.
Stuart was promoted in 2005 to Associate Director of Operations, and also in 2005 assumed additional responsibilities for Product Management. In 2006 Stuart was appointed as Head of Operations and Product Management. Stuart is a Member of the Securities and Investment Institute (MSI). Stuart represents RJIS on the Standards in Wraps committee of the Tax Incentivised Savings Association (TISA).
Matt Gridley
Matt joined Raymond James Investment Services in June 2006 as Associate Director and Head of IT.
Matt came to RJIS with 15 years’ IT experience, most recently as Head of IT at SocGen's UK private client stockbroking business, SELFtrade, one of the largest execution only brokers in the UK processing in the region of 8-10,000 retail securities trades per day. While at SELFtrade, Matt was instrumental in developing and implementing a number of systems and enhancements critical to their success and also establishing a robust Business Continuity Site and IT failover system.
Matt also spent eight years with Oracle Corporation, both in the UK and California in their Tools Division developing database reporting tools.
Graham Hill
As Head of Compliance, Legal and Regulatory Affairs, Graham is also Raymond James Investment Services’ Anti-Money Laundering Reporting Officer. Graham and his team of compliance professionals are responsible for ensuring RJIS meets its regulatory and legal obligations. As Controlled Function CF10 & CF11 and with his extensive regulatory background, Graham is RJIS’ key contact for the Financial Services Authority.
Career History
Graham’s career in the financial services industry began in the mid 1980s working for American Express at their Europe, Middle East and Africa Headquarters in Sussex. Spending almost 9 years with AMEX, Graham’s career initially started with positions in customer services, authorisation and fraud before moving to Amex Bank and then the financial planning subsidiary, Acuma, where he headed up a Life Servicing team and was appointed to the development and launch team for their FTSE Bond. Graham then joined United Friendly, eventually heading up a team in Life Finance & Client Accounting responsible for cash and unit administration on home service and financial planning client policies.
In 1998 Graham, previously ‘game keeper’ decided to become ‘the hunter’ and took a position with the Personal Investment Authority working in the Supervision Department in the Retail Investment Business Division. He was promoted to Supervision Analyst responsible for reviewing intelligence on a number of regulated entities from small IFAs to large global players to determine levels of risk to investors. After the migration of the Self Regulating Organisations to the Financial Services Authority and after designing, planning and setting up the FSA Contact Centre, Graham moved into Relationship Management and was responsible for the supervision of several retail and wholesale firms encompassing investment managers, independent financial advisers, custodians, pension funds and energy market participants. His responsibilities included identifying and managing risk though the engagement of the firm’s senior management and the implementation of risk mitigation programmes, planning and executing on-site visits and taking appropriate and proportionate action against firms where significant systems and controls failings were identified.
In 2004 Graham was approached by NW Brown Group in Cambridge to head their compliance department. His role encompassed oversight of the group’s two CF10 Compliance Officers for their Corporate Finance and Venture Capital businesses. In addition, he had direct responsibility for their Investment Management, Pensions & Financial Planning businesses with further oversight of their newly authorised Insurance business.
Graham joined RJIS in October 2005 as Head of Compliance, Legal and Regulatory Affairs and in April 2006 took on the additional responsibility of the Anti-Money Laundering Reporting Officer role.
Christine Rose-McCoy (MA HRM)
As Head of Human Resources & Facilities, Christine is responsible for all aspects of HR and Facilities within the firm.
Christine joined Raymond James Investment Services in August 2002, having previously worked in the financial services industry for 15 years at the Bank of Montreal. She was also HR Manager for two years at IntraLinks, an internet company providing solutions to banks and asset management firms.
Christine studied at the London Guildhall University and in 2003 she passed her Postgraduate Diploma in Human Resource Strategies. In 2004 Christine went on to complete her Master of Arts degree in Human Resources Management.