Broad Securities LLP

• Principal Place of Business

  1 Fore Street Avenue

  London

  EC2Y 9DT

  UNITED KINGDOM

  Phone

  +4402070588282

  Web

  https://www.broadsecurities.com

• Complaints Contact

  1 Fore Street Avenue

  London

  EC2Y 9DT

  UNITED KINGDOM

  Phone

  +4402070588282

• Investment Advice (no pensions)

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

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  • · 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

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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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

  Show 1 limitation Hide limitations

  • · 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, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

  Show 1 limitation Hide limitations

  • · 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.

• Alessandro Giudice

  IRN AXF00535

  • [FCA CF] Client dealing (since 14 Jun 2024)
• Alessandro Vargiu

  IRN AXV01059

  • CF30 Customer (1 Apr 2014 to 16 Mar 2015)
• Barbara Oldani

  IRN OXB01105

  • CF30 Customer (2 Apr 2013 to 15 Sep 2017)
  • CF4 Partner (2 Apr 2013 to 15 Sep 2017)
  • CF10 Compliance Oversight (2 Apr 2013 to 15 Sep 2017)
  • CF11 Money Laundering Reporting (2 Apr 2013 to 15 Sep 2017)
  • CF3 Chief Executive (2 Apr 2013 to 15 Sep 2017)
• Christopher Geoffrey Paul Baker

  IRN CGB01041

  • CF30 Customer (9 Oct 2015 to 12 Jul 2016)
• Federico Demicheli

  IRN FXD01036

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF10 Compliance Oversight (27 Sep 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Sep 2017 to 8 Dec 2019)
  • CF3 Chief Executive (27 Sep 2017 to 8 Dec 2019)
  • CF30 Customer (2 Apr 2013 to 8 Dec 2019)
  • CF4 Partner (2 Apr 2013 to 8 Dec 2019)
• Francesco Mallardo

  IRN FXM00083

  • CF30 Customer (16 Sep 2013 to 21 May 2014)
• Georgios Cotsikis

  IRN GXC01217

  • SMF27 Partner (since 11 Aug 2023)
• Lorenzo Ruffatti

  IRN LXR01052

  • CF30 Customer (6 Jun 2013 to 9 Jun 2014)
  • CF4 Partner (6 Jun 2013 to 9 Jun 2014)
• Paul Keeble

  IRN PXK01297

  • CF30 Customer (18 Sep 2013 to 27 Nov 2013)
• Petr Luksan

  IRN PXL01153

  • CF30 Customer (30 Mar 2015 to 8 Dec 2019)

No changes recorded yet.