Braemar Securities Limited

• Principal Place of Business

  1 Strand

  Trafalgar Square

  London

  WC2N 5HR

  UNITED KINGDOM

  Phone

  +4402031424100

  Web

  https://braemar.com

• Complaints Contact

  One Strand

  Trafalgar Square

  London

  WC2N 5HR

  UNITED KINGDOM

  Phone

  +4402031424100

• 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, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Rights to or interests in investments (Contractually Based Investments)

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future)

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  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order. Notwithstanding MAR 5A.3.5R, this firm is also unable to engage in ‘matched principal trading’ in bonds, structured finance products, emission allowances and derivatives, and is unable to deal on own account in sovereign debt instruments for which there is not a liquid market.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.
  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of sovereign debt instruments for which there is not a liquid market.
  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of: i. sovereign debt instruments for which there is not a liquid market’; or ii. bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: a. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and b. the client has consented to such trading

• Adam Bartholomew Suttill

  IRN ABS01080

  • [FCA CF] Client dealing (since 1 Oct 2021)
• Adam James Mason

  IRN AJM01731

  • [FCA CF] Client dealing (since 24 Apr 2023)
• Alistair Trond Borthwick

  IRN ATB01073

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Feb 2018 to 8 Dec 2019)
• Andrew Charles Hill

  IRN ACH01081

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 May 2018 to 8 Dec 2019)
• Andrew David Bingham

  IRN ADB01232

  • CF1 Director (7 Feb 2013 to 5 Feb 2018)
• Benjamin Jack Rogan

  IRN BXR00153

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jun 2025)
  • SMF16 Compliance Oversight (since 25 Jun 2025)
• Benjamin Jack Serge Edgington

  IRN BXE01193

  • [FCA CF] Client dealing (21 Dec 2022 to 11 Dec 2025)
• Benjamin Jay Goggin

  IRN BXG01102

  • [FCA CF] Client dealing (14 Jul 2021 to 15 Feb 2022)
• Charles Langbridge

  IRN CXL01677

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (9 Jul 2016 to 8 Dec 2019)
• Chiara Piscedda

  IRN CXP00492

  • [FCA CF] Client dealing (since 21 Dec 2022)

No changes recorded yet.