Baader Helvea Limited

Date authorised
1 April 2013
Companies House
04935018
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5 Royal Exchange Buildings
    London
    EC3V 3NL
    UNITED KINGDOM
    Phone
    +4402070547100
    Web
    https://www.helvea.com

  • Complaints Contact

    5 Royal Exchange Buildings
    London
    EC3V 3NL
    UNITED KINGDOM
    Phone
    +4402070547100

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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

    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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Certificates representing certain security, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Certificates representing certain security, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Marc Christian Effgen

    IRN MCE01029

    • CF30 Customer (1 Nov 2007 to 28 Jun 2011)
    • CF21 Investment Adviser (19 Oct 2006 to 31 Oct 2007)
  • Martin Brunninger

    IRN MXB01615

    • CF30 Customer (1 Sep 2013 to 7 Oct 2013)
  • Matthew James Alban Thomas

    IRN MJT01083

    • CF21 Investment Adviser (2 Sep 2004 to 17 Sep 2004)
  • Matthew James Morey Tricks

    IRN MJT01101

    • CF30 Customer (1 Feb 2009 to 31 Jul 2009)
  • Matthew Williams

    IRN MXW00842

    • [FCA CF] Client dealing (since 11 Apr 2024)
  • Morgan Deane

    IRN MXD01972

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF3 Chief Executive (24 Sep 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Oct 2014 to 10 Feb 2016)
    • CF1 Director (10 Aug 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Jun 2011 to 8 Dec 2019)
  • Nigel Peter Morley

    IRN NPM01019

    • CF21 Investment Adviser (2 Sep 2004 to 17 Sep 2004)
  • Oliver Riedel

    IRN OXR01071

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF3 Chief Executive (14 Oct 2014 to 10 Sep 2015)
    • CF1 Director (17 Feb 2014 to 8 Dec 2019)
  • Patrick Wolfgang Rosenburg

    IRN PWR01029

    • CF1 Director (2 Sep 2004 to 3 Feb 2014)
  • Paul David John Martin

    IRN PDM01058

    • CF1 Director (2 Sep 2004 to 3 Jun 2005)
    • CF10 Compliance Oversight (2 Sep 2004 to 3 Jun 2005)
    • CF11 Money Laundering Reporting (2 Sep 2004 to 3 Jun 2005)
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Recent activity

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

No changes recorded yet.