Canaccord Genuity Limited

• Principal Place of Business

  10th Floor

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075238000

  Web

  https://www.cgf.com

• Complaints Contact

  10th Floor

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075238000

• Investment Advice (no pensions)

• 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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 Eligible Counterparty, Professional, Retail (Investment), 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, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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

  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.

• James Benjamin Peter Lees

  IRN JBL01054

  • CF30 Customer (21 May 2012 to 24 Jul 2013)
• James Brennan

  IRN JMB01157

  • CF30 Customer (1 Nov 2007 to 3 Dec 2007)
  • CF27 Investment Management (14 Sep 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (14 Sep 2005 to 31 Oct 2007)
• James Craven

  IRN JXC02004

  • CF30 Customer (9 Feb 2015 to 25 Aug 2017)
• James Darwin

  IRN JXD01342

  • CF30 Customer (28 Oct 2009 to 1 Jun 2010)
• James David Mitchell Congdon

  IRN JDC01085

  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Material risk taker (9 Dec 2020 to 31 Dec 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Edward Goodey

  IRN JEG01085

  • CF30 Customer (1 Nov 2007 to 3 Mar 2008)
  • CF21 Investment Adviser (19 Mar 2004 to 31 Oct 2007)
  • CF27 Investment Management (19 Mar 2004 to 31 Oct 2007)
• James Edward King

  IRN JEK01031

  • CF21 Investment Adviser (1 Dec 2001 to 12 Aug 2005)
• James Edward Stettler

  IRN JES01074

  • CF30 Customer (29 Nov 2012 to 9 Jul 2013)
• James Glynn West

  IRN JGW01032

  • CF2 Non Executive Director (21 Mar 2012 to 17 Oct 2013)
• James Gregory Harris

  IRN JGH01146

  • CF30 Customer (14 Jan 2015 to 17 Mar 2016)

No changes recorded yet.