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

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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, 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

• James Richard de Villeneuve Kidwell

  IRN JRK01081

  • CF1 Director (2 Feb 2018 to 26 Jul 2019)
• James Wheatley

  IRN JXW00819

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

  IRN JNB01102

  • [FCA CF] Client dealing (3 Feb 2020 to 1 Dec 2024)
• Jenna Broughton Lloyd

  IRN JXB01087

  • [FCA CF] Client dealing (18 May 2022 to 31 Dec 2025)
• John James O'Shea

  IRN JXO06264

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Sep 2018 to 8 Dec 2019)
• Jordan So

  IRN JXS01187

  • [FCA CF] Client dealing (since 21 Dec 2022)
• Jurgen-Heinz Breuer

  IRN JXB01422

  • CF2 Non Executive Director (10 Sep 2018 to 21 Oct 2019)
  • CF1 Director (2 Feb 2018 to 18 Oct 2019)
• Kelvin Declan Taaffe

  IRN KDT01016

  • CF30 Customer (19 Mar 2014 to 9 Jan 2019)
• Lesley Susan Watkins

  IRN LSW01013

  • CF2 Non Executive Director (10 Sep 2018 to 21 Oct 2019)
  • CF1 Director (2 Feb 2018 to 10 Sep 2018)
• Lewis Thomas Scott

  IRN LXS00225

  • [FCA CF] Client dealing (3 Jul 2023 to 17 Apr 2024)

No changes recorded yet.