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

• Shao Chen

  IRN SXC00933

  • [FCA CF] Client dealing (since 9 Jan 2023)
• Sheldon Valjalo

  IRN SXV17760

  • [FCA CF] Client dealing (24 Mar 2023 to 27 Jun 2024)
• Simon Watson Kemp

  IRN SXK03009

  • CF30 Customer (8 Aug 2018 to 25 Sep 2019)
• Stephen John Kunzer

  IRN SXK11146

  • CF2 Non Executive Director (27 Feb 2019 to 21 Oct 2019)
• Toby Hagger

  IRN TXH00122

  • [FCA CF] Client dealing (26 Oct 2020 to 17 Apr 2022)
• Toby Simmonds

  IRN TXS04189

  • [FCA CF] Client dealing (since 1 Dec 2025)
• Tristram Peter Simmonds

  IRN TPS01020

  • SMF3 Executive Director (9 Dec 2019 to 7 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Mar 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Nov 2022)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jan 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
  • CF1 Director (2 Jan 2013 to 8 Dec 2019)
• Vaughan Thomas Daniel English

  IRN VXE00031

  • SMF3 Executive Director (since 19 Dec 2023)
• William Beresford

  IRN WXB00075

  • [FCA CF] Client dealing (10 Jun 2021 to 20 Sep 2024)
• William Hockley Smith

  IRN WXH00205

  • [FCA CF] Client dealing (since 13 Apr 2026)

No changes recorded yet.