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

• Oliver James Kinkade

  IRN OXK09444

  • [FCA CF] Client dealing (since 9 Jun 2025)
  • [FCA CF] Client dealing (11 Jun 2024 to 22 Jan 2025)
• Panagiotis Pachis

  IRN PXP02040

  • CF30 Customer (20 Jun 2018 to 31 May 2019)
• Peter James Stallion

  IRN PXS00308

  • [FCA CF] Manager of certification employee (30 Jan 2024 to 31 Jan 2024)
  • [FCA CF] Client dealing (30 Jan 2024 to 22 Jan 2025)
• Rebecca Reed-Sperrin

  IRN RXR01547

  • [FCA CF] Client dealing (24 Mar 2023 to 2 Jun 2025)
• Richard David Gill

  IRN RDG01053

  • SMF3 Executive Director (12 Dec 2022 to 7 Apr 2025)
  • SMF16 Compliance Oversight (1 Nov 2022 to 7 Apr 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Nov 2022 to 7 Apr 2025)
• Robert Alistair Stewart Mackay

  IRN RAM01211

  • [FCA CF] Client dealing (3 Mar 2025 to 4 Sep 2025)
• Ronald Charles Series

  IRN RXS13847

  • CF2 Non Executive Director (2 May 2019 to 21 Oct 2019)
• Ronnie Cousins

  IRN RXC00508

  • [FCA CF] Client dealing (18 May 2022 to 28 May 2025)
• Samuel Tommy Sharp

  IRN SXS05793

  • [FCA CF] Client dealing (since 6 Jan 2026)
• Sander Willem Peter Bots

  IRN SWB01077

  • SMF3 Executive Director (8 Feb 2023 to 14 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Mar 2025)
  • CF30 Customer (15 May 2018 to 8 Dec 2019)

No changes recorded yet.