Advent Life Sciences LLP

Date authorised
1 April 2013
Companies House
OC347034
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Advent Life Sciences LLP
    27 Fitzroy Square
    London
    W1T 6ES
    UNITED KINGDOM
    Phone
    +442079322100
    Web
    http://www.adventls.com

  • Complaints Contact

    27 Fitzroy Square
    London
    W1T 6ES
    UNITED KINGDOM
    Phone
    +442079322100

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · 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, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Manages Your Portfolio

    For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Dale Robert Pfost

    IRN DRP01120

    • CF30 Customer (1 Jun 2012 to 20 Nov 2019)
    • CF4 Partner (1 Jun 2012 to 20 Nov 2019)
  • Dominic Schmidt

    IRN DXS00771

    • SMF27 Partner (since 30 Jan 2023)
  • Leslie Ian Gabb

    IRN LIG01002

    • CF4 Partner (17 Jan 2011 to 31 Mar 2013)
    • CF10 Compliance Oversight (17 Jan 2011 to 31 Mar 2013)
    • CF11 Money Laundering Reporting (17 Jan 2011 to 31 Mar 2013)
    • CF30 Customer (17 Jan 2011 to 31 Mar 2013)
  • Mohammed Shahzad Ahmed Malik

    IRN MSM01052

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (17 Jan 2011 to 8 Dec 2019)
    • CF30 Customer (17 Jan 2011 to 8 Dec 2019)
  • Raj Bhikhu Parekh

    IRN RBP01020

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF3 Chief Executive (17 Jan 2011 to 8 Dec 2019)
    • CF30 Customer (17 Jan 2011 to 8 Dec 2019)
    • CF4 Partner (17 Jan 2011 to 8 Dec 2019)
  • Rowena Patel

    IRN RXP31406

    • SMF16 Compliance Oversight (since 5 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (21 Aug 2020 to 11 Jun 2021)
    • SMF16 Compliance Oversight (21 Aug 2020 to 11 Jun 2021)
  • SAIYED KAASIM MAHMOOD

    IRN SKM01072

    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Oct 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Oct 2022)
    • CF10a CASS Oversight function (7 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Mar 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Mar 2013 to 8 Dec 2019)
    • CF4 Partner (1 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2012 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.