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

• Julian Alexander Laird

  IRN JAL01109

  • CF30 Customer (1 Nov 2007 to 27 Jan 2009)
  • CF26 Customer Trading (22 Jan 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (22 Jan 2004 to 31 Oct 2007)
• Julian Grant Key

  IRN JGK01019

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

  IRN JNK01008

  • CF27 Investment Management (24 Jan 2002 to 28 Mar 2002)
• Justin Sandler

  IRN JXS01467

  • CF27 Investment Management (1 Dec 2001 to 21 May 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 21 May 2003)
• Kamal Warraich

  IRN KXW00140

  • [FCA CF] Manager of certification employee (since 15 Nov 2023)
  • [FCA CF] Client dealing (since 2 Mar 2021)
• Karen Isobel Nicholson

  IRN KXN00092

  • [FCA CF] Client dealing (1 Apr 2023 to 26 Jul 2023)
• Karen Smith

  IRN KXB01282

  • 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] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (22 Mar 2019 to 8 Dec 2019)
• Karl Thomas Craig

  IRN KTC01013

  • [FCA CF] Client dealing (2 Dec 2020 to 9 Jun 2023)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 9 Jun 2023)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 9 Jun 2023)
  • CF30 Customer (15 Aug 2017 to 8 Dec 2019)
• Kathleen Elizabeth McGibbon

  IRN KEM01040

  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2023)
• Kathryn Sarah Field

  IRN KSF01006

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Manager of certification employee (since 8 Jul 2024)
  • [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 19 Sep 2023)
  • CF30 Customer (19 Aug 2019 to 8 Dec 2019)

No changes recorded yet.