Canaccord Genuity Wealth Limited

• Principal Place of Business

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075234500

  Web

  https://www.canaccord-wealth.com

• Complaints Contact

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075234500

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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 Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

• Trade Settlement Routing

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Credit Brokering

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  • · The firm’s credit broking activities are limited to customers who have certified as High Net Worth (HNW) individuals under Article 60H of the RAO or have certified that the nature of the loan is wholly or predominantly for business purposes under Article 60(C)(3) of the RAO

• Stockbroking

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.

• Investment Setup

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Professional, Retail (Investment), Alternative Debenture, 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), Rolling spot forex contract, 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• David Esfandi

  IRN DXE01099

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF1 Director (22 Apr 2016 to 8 Dec 2019)
  • CF30 Customer (11 Apr 2014 to 8 Dec 2019)
  • CF3 Chief Executive (11 Apr 2014 to 8 Dec 2019)
• David John Blake

  IRN DJB00185

  • 14. Managing investments
  • [FCA CF] Client dealing (since 6 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2023)
• David Jonathan Clinkard

  IRN DJC01196

  • CF30 Customer (27 Mar 2019 to 8 Dec 2019)
• David Laurence Bearman

  IRN DLB01043

  • CF30 Customer (1 Nov 2007 to 29 Jul 2011)
  • CF1 Director (1 Dec 2001 to 29 Jul 2011)
  • CF3 Chief Executive (1 Dec 2001 to 29 Jul 2011)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• David Lee Boswell

  IRN DLB01081

  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2023)
• David Martin King

  IRN DMK01020

  • CF30 Customer (6 Dec 2012 to 28 Mar 2018)
• David Michael Gasken

  IRN DMG01059

  • CF30 Customer (1 Nov 2007 to 4 Jun 2008)
  • CF1 Director (1 Dec 2001 to 19 Feb 2003)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 10 Mar 2006)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• David Muncaster

  IRN DXM01496

  • [FCA CF] Significant management (since 27 Oct 2023)
  • [FCA CF] Client dealing (22 Sep 2021 to 27 Oct 2023)
  • [FCA CF] Manager of certification employee (22 Sep 2021 to 19 Sep 2023)
• David Richard James Small

  IRN DRS01081

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF26 Customer Trading (6 Feb 2004 to 31 Oct 2007)
• Debashish Mintu Saha

  IRN DMS01124

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 17 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (28 Feb 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (28 Feb 2005 to 31 Oct 2007)

No changes recorded yet.