Arete Research Services LLP

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Addresses

The contact details this firm has registered with the FCA.

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

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Option (excluding a commodity option and an option on a commodity future), Share, Warrant
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.

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

Adam John Shepherd
IRN AJS01340
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF4 Partner (21 May 2009 to 8 Dec 2019)
- CF30 Customer (21 May 2009 to 8 Dec 2019)
Aihua Xu
IRN ASX01000
- CF22 Investment Adviser (Trainee) (9 Nov 2006 to 31 Dec 2006)
Alban Cousin
IRN AXC02196
- CF30 Customer (19 Jan 2010 to 2 Nov 2016)
Alexander De Unger
IRN AXD00798
- [FCA CF] Client dealing (since 12 Sep 2023)
Alexander Pound
IRN AXP00491
- [FCA CF] Client dealing (since 6 Sep 2021)
Alexander William Tout
IRN AWT01046
- CF30 Customer (24 Mar 2010 to 2 Jun 2014)
Andrew Charles Robert Beale
IRN ACB01097
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (16 Jul 2003 to 8 Dec 2019)
- CF21 Investment Adviser (16 Jul 2003 to 31 Oct 2007)
Anthony Elliot Miller
IRN AEM01110
- CF30 Customer (1 Nov 2007 to 29 Aug 2008)
- CF4 Partner (27 Oct 2006 to 29 Aug 2008)
- CF21 Investment Adviser (27 Oct 2006 to 31 Oct 2007)
Anthony Walter Graziano
IRN AWG01027
- CF4 Partner (14 Feb 2011 to 5 Feb 2018)
Aysha Rani Zaman
IRN AXZ01015
- CF30 Customer (17 Nov 2015 to 29 Apr 2016)

Smaller firms operating under this firm's FCA authorisation.

Frans Hoyer (no longer appointed)
FRN 424173 · Appointed 21 Jan 2005 · Until 10 Sep 2021

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.