Alta Advisers Limited

• Principal Place of Business

  Alta Advisers Ltd

  Elsley House 24-30

  Great Titchfield Street

  London

  Westminster

  W1W 8BF

  UNITED KINGDOM

  Phone

  +442075905010

• Complaints Contact

  Alta Advisers Ltd

  Elsley House 24-30

  Great Titchfield Street

  London

  Westminster

  W1W 8BF

  UNITED KINGDOM

  Phone

  +442075905010

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Stockbroking

  For Eligible Counterparty, Professional, 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 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Investment Setup

  For Eligible Counterparty, Professional, 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 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Richard Oldfield

  IRN RSO00001

  • CF27 Investment Management (21 Aug 2002 to 11 Mar 2005)
  • CF3 Chief Executive (1 Dec 2001 to 11 Mar 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 21 Aug 2002)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 11 Mar 2005)
  • CF1 Director (1 Dec 2001 to 11 Mar 2005)
• Richard William Atterbury

  IRN RWA01010

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (7 Feb 2017 to 8 Dec 2019)
• Robert George McCormack

  IRN RXM00844

  • [FCA CF] Significant management (since 17 May 2023)
  • [FCA CF] Material risk taker (since 17 May 2023)
• Robert, Francis Wallace

  IRN RFW01045

  • CF30 Customer (1 Nov 2007 to 1 Jul 2015)
  • CF27 Investment Management (15 Mar 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Feb 2005 to 31 Oct 2007)
  • CF1 Director (14 Jan 2005 to 1 Jul 2015)
  • CF3 Chief Executive (14 Jan 2005 to 1 Jul 2015)
• Shaurya Prakash

  IRN SXP01093

  • [FCA CF] Client dealing (since 12 Jun 2025)
• Sophie Meeran

  IRN SXM00945

  • [FCA CF] Client dealing (since 13 Jan 2022)
• Thomas Richard Taylor

  IRN TRT01005

  • CF30 Customer (1 Nov 2007 to 30 May 2008)
  • CF27 Investment Management (21 Aug 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 21 Aug 2002)
• Thomas Rowntree

  IRN TXR00053

  • [FCA CF] Client dealing (4 Jan 2021 to 31 Dec 2025)
• Tilly Franklin

  IRN TXF01297

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2019)
  • CF30 Customer (31 Oct 2016 to 8 Dec 2019)
• Timothy Fritzinger

  IRN TXF01296

  • CF30 Customer (31 Oct 2016 to 30 Jun 2018)

No changes recorded yet.