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

• Myles Benjamin Stephenson-Oliver

  IRN MBS01028

  • CF30 Customer (1 Nov 2007 to 9 Apr 2009)
  • CF21 Investment Adviser (25 Sep 2007 to 31 Oct 2007)
  • CF27 Investment Management (25 Sep 2007 to 31 Oct 2007)
• Nadine Genevieve Ahn

  IRN NXA00420

  • Director of firm who is not a certification employee or a SMF manager (since 8 Sep 2025)
• Naseer Ahmed Dean

  IRN NXD01076

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Aug 2006 to 31 Oct 2007)
  • CF27 Investment Management (8 Aug 2006 to 31 Oct 2007)
• Natalie Grace Howard

  IRN NGH01036

  • 14. Managing investments
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Manager of certification employee (2 Mar 2021 to 21 Aug 2023)
  • CF30 Customer (10 Apr 2019 to 8 Dec 2019)
• Neil Andrew Palmer

  IRN NAP01037

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Neil Michael Darke

  IRN NMD01016

  • CF30 Customer (6 Dec 2012 to 27 Mar 2014)
  • CF1 Director (2 Oct 2012 to 27 Mar 2014)
  • CF3 Chief Executive (2 Oct 2012 to 27 Mar 2014)
• Neil Robert Alistair Smith

  IRN NRS00028

  • CF30 Customer (10 Jan 2019 to 8 Dec 2019)
• Nicholas Batsford

  IRN NXB01135

  • CF26 Customer Trading (11 May 2004 to 11 Aug 2006)
  • CF21 Investment Adviser (11 May 2004 to 11 Aug 2006)
  • CF27 Investment Management (11 May 2004 to 11 Aug 2006)
• Nicholas John Grant

  IRN NJG01137

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

  IRN NJH01104

  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Manager of certification employee (since 2 Dec 2020)
  • CF30 Customer (30 Jun 2008 to 8 Dec 2019)

No changes recorded yet.