Albert E Sharp LLP

• Principal Place of Business

  7 Elm Court

  Arden Street

  Stratford-upon-Avon

  Warwickshire

  CV37 6PA

  UNITED KINGDOM

  Phone

  +4401789404000

  Web

  https://www.albertesharp.com

• Complaints Contact

  7 Elm Court

  Arden St

  Stratford-upon-avon

  Warwickshire

  CF37 6PA

  UNITED KINGDOM

  Phone

  +4401789404000

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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, Structured Deposits, 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, Retail (Investment), 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, Spread Bet, Structured Deposits, 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, Retail (Investment), 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, Spread Bet, Structured Deposits, 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, Retail (Investment), 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, Spread Bet, Structured Deposits, 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, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, 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.

• Fern Joanna Hordern

  IRN FJH01024

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 19 Nov 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (19 May 2016 to 8 Dec 2019)
  • CF4 Partner (1 Oct 2013 to 5 Dec 2013)
• Harry Michael Jervis

  IRN HXJ00130

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Feb 2025)
  • [FCA CF] Client dealing (since 3 Feb 2025)
• James Philip Crocker

  IRN JPC00028

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (31 Jul 2012 to 8 Dec 2019)
  • CF4 Partner (31 Jul 2012 to 8 Dec 2019)
• James Williams Roden

  IRN JWR01034

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (17 Nov 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Nov 2008 to 22 May 2017)
  • CF11 Money Laundering Reporting (17 Nov 2008 to 22 May 2017)
  • CF4 Partner (17 Nov 2008 to 8 Dec 2019)
• Jaspal Singh Parmar

  IRN JSP01121

  • CF4 Partner (14 Aug 2012 to 1 Jul 2013)
• John Geoffrey Gibbs Smith

  IRN JGS01046

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Jan 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jan 2024)
  • SMF27 Partner (9 Dec 2019 to 29 Jan 2024)
  • CF4 Partner (3 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (3 Jan 2014 to 8 Dec 2019)
• John James Stratton

  IRN JXS00367

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Apr 2022)
  • [FCA CF] Client dealing (since 25 Apr 2022)
• John Patrick Flynn

  IRN JPF00001

  • SMF27 Partner (since 15 Dec 2023)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (19 May 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (19 May 2017 to 8 Dec 2019)
• Lee Latimer

  IRN LXL01453

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Aug 2023)
  • CF30 Customer (27 Oct 2016 to 8 Dec 2019)
• Mark William Atherton

  IRN MWA01005

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF4 Partner (11 Jun 2014 to 8 Dec 2019)
  • CF30 Customer (11 Jun 2014 to 8 Dec 2019)

No changes recorded yet.