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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

• Owen Christopher Woosey

  IRN OXW00091

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 6 Jan 2025)
  • [FCA CF] Client dealing (since 6 Aug 2024)
• Patrick John Philip Johnson

  IRN PJJ01052

  • CF30 Customer (1 Nov 2007 to 1 Apr 2013)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 1 Oct 2003)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 1 Oct 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 1 Apr 2013)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Patrick Thomas

  IRN PXT01361

  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 18 Aug 2023)
  • [FCA CF] Client dealing (2 Dec 2020 to 4 Jul 2025)
  • CF30 Customer (13 Jan 2014 to 8 Dec 2019)
• Paul Anthony Fielding

  IRN PAF00067

  • 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] Manager of certification employee (since 22 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 19 Aug 2024)
  • [FCA CF] Client dealing (since 19 Aug 2024)
• Paul Bernard Barwick

  IRN PBB01027

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF26 Customer Trading (16 Jul 2003 to 31 Oct 2007)
• Paul Bernard Derrien

  IRN PBD01008

  • 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 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (7 Dec 2012 to 8 Dec 2019)
• Paul David Mudge

  IRN PXM00165

  • SMF5 Head of Internal Audit (since 15 Apr 2024)
  • [FCA CF] Significant management (2 Dec 2020 to 24 Feb 2022)
• Paul David Reynolds

  IRN PDR01045

  • CF2 Non Executive Director (4 Apr 2014 to 2 Apr 2015)
  • CF1 Director (9 Oct 2012 to 10 Apr 2014)
• Paul John Avant

  IRN PJA01058

  • CF30 Customer (3 Dec 2013 to 31 Jul 2014)
• Paul John Clapham

  IRN PJC01385

  • CF10a CASS Oversight function (10 Sep 2013 to 24 Feb 2017)

No changes recorded yet.