Advent Capital Management UK Limited

• Principal Place of Business

  19 Dacre Street

  London

  Westminster

  SW1H 0DJ

  UNITED KINGDOM

  Phone

  +4402033579990

• Complaints Contact

  19 Dacre Street

  London

  Westminster

  SW1H 0DJ

  UNITED KINGDOM

  Phone

  +4402033579990

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

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  • · 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.

• Authorised to Operate

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

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

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  • · 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

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  • · 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

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  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

  Show 1 limitation 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.

• Ahsan Abdullah

  IRN AXA02408

  • [FCA CF] Client dealing (since 28 Aug 2024)
• Alastair Benedict Protheroe Smith

  IRN ABS01041

  • [FCA CF] Client dealing (1 Apr 2022 to 18 Nov 2024)
  • CF30 Customer (21 Sep 2018 to 8 Dec 2019)
• Alex Buckingham

  IRN AXB03028

  • CF30 Customer (20 Nov 2012 to 4 Jul 2018)
• Connor Michael Maloney

  IRN CMM01059

  • CF3 Chief Executive (25 Jul 2006 to 26 Apr 2007)
  • CF27 Investment Management (25 Jul 2006 to 26 Apr 2007)
  • CF21 Investment Adviser (25 Jul 2006 to 26 Apr 2007)
  • CF11 Money Laundering Reporting (25 Jul 2006 to 26 Apr 2007)
  • CF10 Compliance Oversight (25 Jul 2006 to 26 Apr 2007)
  • CF1 Director (25 Jul 2006 to 26 Apr 2007)
  • CF8 Apportionment and Oversight (25 Jul 2006 to 26 Apr 2007)
• Dale Melvyn Briscoe

  IRN DMB01124

  • CF11 Money Laundering Reporting (14 May 2007 to 2 Jul 2007)
  • CF27 Investment Management (14 May 2007 to 2 Jul 2007)
  • CF3 Chief Executive (14 May 2007 to 2 Jul 2007)
  • CF8 Apportionment and Oversight (14 May 2007 to 2 Jul 2007)
  • CF1 Director (14 May 2007 to 2 Jul 2007)
  • CF10 Compliance Oversight (14 May 2007 to 2 Jul 2007)
  • CF21 Investment Adviser (14 May 2007 to 2 Jul 2007)
• David William Moore

  IRN DWM01051

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Jul 2018 to 8 Dec 2019)
  • CF30 Customer (15 Oct 2009 to 9 Aug 2012)
• Dominique Terris

  IRN DXT01792

  • [FCA CF] Client dealing (since 1 Apr 2022)
  • CF30 Customer (8 Jun 2018 to 8 Dec 2019)
• Edward Elemuel Johnson

  IRN EEJ01004

  • CF2 Non Executive Director (30 Aug 2007 to 13 Jul 2012)
• Francois Paul Berlioz

  IRN FXB01055

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (4 Jul 2007 to 31 Oct 2007)
• Ian David Mahoney

  IRN IDM01089

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (15 Apr 2011 to 17 Aug 2012)

No changes recorded yet.