Broad Securities LLP

Date authorised
2 April 2013
Companies House
OC381003
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Philipp Johannes Schoenbucher

    IRN PJS01405

    • CF30 Customer (11 Jan 2016 to 26 Jun 2017)
  • Robert Jan Kroese

    IRN RJK01056

    • CF30 Customer (15 Apr 2014 to 19 Feb 2019)
  • Sonia Torrengo

    IRN SXT01169

    • CF30 Customer (3 Jan 2014 to 10 Jul 2014)
  • Yuan Michael Tian

    IRN YMT01007

    • SMF27 Partner (9 Dec 2019 to 27 Nov 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Mar 2024)
    • CF30 Customer (24 May 2019 to 8 Dec 2019)
    • CF4 Partner (24 May 2019 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.