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

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  • · 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

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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.

• 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

• James David Holroyd

  IRN JDH01110

  • 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)
  • CF30 Customer (20 Mar 2019 to 8 Dec 2019)
• James Edward Neale

  IRN JXN18857

  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 12 May 2023)
  • [FCA CF] Client dealing (2 Dec 2020 to 12 May 2023)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
• James Kightley

  IRN JXK00331

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 30 Nov 2022)
  • [FCA CF] Client dealing (since 6 May 2022)
• James Leo Charles Meysey-Thompson

  IRN JXM02172

  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 4 Jul 2023)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 4 Jul 2023)
  • [FCA CF] Client dealing (2 Dec 2020 to 4 Jul 2023)
  • CF30 Customer (18 Mar 2019 to 8 Dec 2019)
• James Paul Hazell

  IRN JPH01215

  • CF30 Customer (1 Apr 2008 to 6 Sep 2010)
• James Paul Huckett

  IRN JPH01138

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF26 Customer Trading (10 Sep 2003 to 31 Oct 2007)
• James William Knowles

  IRN JWK01011

  • [FCA CF] Client dealing (7 Apr 2023 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (7 Apr 2023 to 31 Mar 2025)
• Jamieson David Playle

  IRN JDP01049

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF21 Investment Adviser (30 Oct 2007 to 31 Oct 2007)
  • CF26 Customer Trading (30 Oct 2007 to 31 Oct 2007)
• Jane Elizabeth Tulloch

  IRN JEC01209

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 7 Apr 2023)
  • [FCA CF] Client dealing (since 7 Apr 2023)
• Jane Mackett

  IRN JXM02339

  • CF10 Compliance Oversight (30 Jun 2015 to 22 Jan 2016)

No changes recorded yet.