ARIA PRIVATE CLIENTS LIMITED

• Principal Place of Business

  Building 2

  Ground Floor

  Guildford Business Park

  Guildford

  Surrey

  GU2 8XG

  UNITED KINGDOM

  Phone

  +441483917644

  Web

  https://www.ariaprivateclients.com

• Complaints Contact

  Building 2

  Ground Floor

  Guildford Business Park

  Guildford

  Surrey

  GU2 8XG

  UNITED KINGDOM

  Phone

  +441483917644

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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, Stakeholder pension scheme, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  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, Life Policy, 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, Stakeholder pension scheme, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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, Stakeholder pension scheme, Structured Deposits, 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.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Manages Your Portfolio

  For 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, Life Policy, 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, Stakeholder pension scheme, Structured Deposits, 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.

• Edward Douglas Collins

  IRN EDC01014

  • [FCA CF] Manager of certification employee (30 Sep 2025 to 13 Jan 2026)
  • [FCA CF] Client dealing (30 Sep 2025 to 13 Jan 2026)
• Gaurav Kumar Modgill

  IRN GKM01025

  • CF1 Director (11 Jul 2013 to 25 Sep 2015)
  • CF11 Money Laundering Reporting (10 Aug 2012 to 25 Sep 2015)
  • CF10 Compliance Oversight (10 Aug 2012 to 25 Sep 2015)
• Holly Power

  IRN HXM00311

  • [FCA CF] Functions requiring qualifications (2 Dec 2022 to 20 Feb 2023)
  • [FCA CF] Client dealing (2 Dec 2022 to 20 Feb 2023)
• James Gregory

  IRN JXS02898

  • [FCA CF] Manager of certification employee (19 May 2023 to 14 Jun 2024)
  • [FCA CF] Client dealing (15 May 2023 to 14 Jun 2024)
  • Appointed representative dealing with clients for which they require qualification (15 May 2023 to 19 May 2023)
  • [FCA CF] Significant management (4 Apr 2022 to 14 Jun 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Feb 2023)
  • CF30 Customer (21 May 2019 to 8 Dec 2019)
• James Richard Hindmarch

  IRN JRH01259

  • [FCA CF] Client dealing (31 Mar 2022 to 2 May 2025)
  • [FCA CF] Functions requiring qualifications (31 Mar 2022 to 2 May 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (5 Dec 2011 to 8 Dec 2019)
• Jeremy Ian Lock

  IRN JIL01006

  • SMF16 Compliance Oversight (18 Dec 2023 to 10 May 2024)
  • Responsibility for MCD Intermediation (18 Dec 2023 to 10 May 2024)
• Jeremy Richard Smith

  IRN JRS01120

  • CF30 Customer (24 Mar 2011 to 29 Oct 2014)
• Katarzyna Ewa Januchowska

  IRN KXJ01235

  • SMF17 Money Laundering Reporting Officer (MLRO) (13 May 2022 to 8 May 2023)
  • SMF16 Compliance Oversight (13 May 2022 to 8 May 2023)
  • [FCA CF] Manager of certification employee (1 Dec 2020 to 18 Nov 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2021)
• Lars Ian Singleton

  IRN LIS01001

  • CF30 Customer (17 May 2019 to 8 Dec 2019)
• Lau Yiu Bun

  IRN LXB00854

  • [FCA CF] Client dealing (since 10 Nov 2025)

No changes recorded yet.