Brompton Asset Management Limited

• Principal Place of Business

  Brompton Asset Management Ltd

  1 Knightsbridge Green

  London

  SW1X 7QA

  UNITED KINGDOM

  Phone

  +4402070450600

  Web

  https://www.bromptonam.com

• Complaints Contact

  Brompton Asset Management Ltd

  1 Knightsbridge Green

  London

  SW1X 7QA

  UNITED KINGDOM

  Phone

  +4402070450600

• Investment Advice (no pensions)

  For Commercial, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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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 Commercial, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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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.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  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.

• David Alexander Sholto Hedderwick

  IRN DAH01275

  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
• Emily Lam

  IRN EXL00125

  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2022)
• Francesca Smith

  IRN FKW01001

  • [FCA CF] Significant management (since 1 Dec 2021)
• Gillian Valerie Lakin

  IRN GVL01003

  • 14. Managing investments
  • SMF3 Executive Director (since 14 Oct 2022)
  • [FCA CF] Significant management (since 1 Dec 2021)
  • [FCA CF] Client dealing (since 1 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
  • [FCA CF] Manager of certification employee (since 1 Dec 2021)
• John Lincoln Duffield

  IRN JLD01024

  • SMF1 Chief Executive (since 1 Dec 2021)
  • SMF3 Executive Director (since 29 Jul 2021)
• John Philip Bromberg Jay

  IRN JPJ01014

  • 14. Managing investments
  • SMF3 Executive Director (since 1 Dec 2021)
  • [FCA CF] Client dealing (since 1 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
• Jonathon Charles Hodesdon

  IRN JCH01080

  • [FCA CF] Significant management (since 1 Dec 2021)
• Maxwell James Walker

  IRN MXW00372

  • [FCA CF] Significant management (since 1 Dec 2021)
• Michael Ramon Langhorne Astor

  IRN MRA01028

  • SMF3 Executive Director (since 1 Dec 2021)
• Nigel Jonathan Clarke

  IRN NXC00177

  • [FCA CF] Significant management (since 1 Dec 2021)

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