ADG Securities LLP

• Principal Place of Business

  Part Level 18

  5 Aldermanbury Square

  London

  EC2V 7HR

  UNITED KINGDOM

  Phone

  +442078622000

  Web

  https://www.adgcorporate.com/adg-securities

• Complaints Contact

  Part Level 18

  5 Aldermanbury Square

  London

  EC2V 7HR

  UNITED KINGDOM

  Phone

  +442078621972

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Trades With You Directly

  For Eligible Counterparty, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · The firm may only deal on own account in MiFID financial instruments if: (i) it does not hold client money or securities in relation to investment services or activities that it provides and is not authorised to do so; (ii) the only investment service or activity it undertakes is dealing on own account; (iii) it has no external customers in relation to the investment services or activities it provides

• James John Glogg

  IRN JJG01071

  • [FCA CF] Significant management (9 Dec 2019 to 28 Feb 2023)
• James Woods

  IRN JXW00308

  • [FCA CF] Material risk taker (since 23 Sep 2025)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Joachim Tigler

  IRN JXT01370

  • [FCA CF] Algorithmic trading (9 Dec 2019 to 31 Oct 2022)
  • SMF27 Partner (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2022)
  • CF4 Partner (1 Nov 2018 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2018 to 8 Dec 2019)
• John William Brooks

  IRN JWB01182

  • [FCA CF] Significant management (1 Nov 2022 to 28 Apr 2023)
  • [FCA CF] Material risk taker (31 Oct 2022 to 28 Apr 2023)
  • SMF27 Partner (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Algorithmic trading (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 28 Apr 2023)
  • CF4 Partner (29 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (29 Aug 2019 to 8 Dec 2019)
• Julian Oakland

  IRN JMO01042

  • [FCA CF] Material risk taker (since 23 Sep 2025)
  • [FCA CF] Proprietary trader (since 2 Aug 2024)
  • [FCA CF] Significant management (since 18 Sep 2023)
• Julian Woods

  IRN JRW01132

  • [FCA CF] Material risk taker (since 23 Sep 2025)
  • SMF27 Partner (since 13 Mar 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Feb 2022)
  • CF11 Money Laundering Reporting (1 Nov 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
• Marc Vesin

  IRN MXV29756

  • [FCA CF] Proprietary trader (2 Oct 2023 to 8 Dec 2023)
  • [FCA CF] Significant management (2 Oct 2023 to 8 Dec 2023)
  • [FCA CF] Algorithmic trading (2 Oct 2023 to 8 Dec 2023)
  • [FCA CF] Material risk taker (2 Oct 2023 to 8 Dec 2023)
  • SMF27 Partner (21 Aug 2023 to 8 Dec 2023)
• Mark Thompson

  IRN MXT00150

  • [FCA CF] Material risk taker (since 23 Sep 2025)
  • [FCA CF] Proprietary trader (since 13 Feb 2025)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Owen Barrett

  IRN OXB00094

  • [FCA CF] Material risk taker (since 23 Sep 2025)
  • [FCA CF] Significant management (since 16 May 2022)
• Paul Jang

  IRN PXJ01245

  • [FCA CF] Material risk taker (23 Sep 2025 to 13 Nov 2025)
  • SMF27 Partner (9 Dec 2019 to 13 Nov 2025)
  • [FCA CF] Algorithmic trading (9 Dec 2019 to 8 Apr 2024)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 13 Nov 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Jun 2025)

No changes recorded yet.