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

• Richard George Barber

  IRN RGB01075

  • CF27 Investment Management (1 Dec 2001 to 24 Sep 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 24 Sep 2002)
• Richard Ian Charles Stephenson Hall

  IRN RIH01052

  • [FCA CF] Significant management (since 7 Apr 2023)
  • [FCA CF] Client dealing (7 Apr 2023 to 19 Sep 2023)
  • [FCA CF] Manager of certification employee (7 Apr 2023 to 19 Sep 2023)
• Richard Irwin Harrington

  IRN RIH01040

  • CF2 Non Executive Director (29 Mar 2006 to 8 Oct 2012)
• Richard James Champion

  IRN RJC01135

  • [FCA CF] Significant management (since 24 Nov 2023)
  • [FCA CF] Material risk taker (since 24 Nov 2023)
  • [FCA CF] Manager of certification employee (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (24 Aug 2015 to 8 Dec 2019)
• Richard James Hallett

  IRN RJH01163

  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 9 Mar 2023)
  • [FCA CF] Client dealing (2 Dec 2020 to 27 Oct 2023)
  • CF30 Customer (27 Mar 2019 to 8 Dec 2019)
• Richard Jonathan Appleton

  IRN RJA01070

  • CF26 Customer Trading (15 Jul 2002 to 7 Oct 2002)
• Richard Larner

  IRN RJL01088

  • 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] Manager of certification employee (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (14 Mar 2019 to 8 Dec 2019)
• Richard Philip Bernstein

  IRN RPB01078

  • CF2 Non Executive Director (1 Dec 2001 to 30 Jun 2004)
• Robert Clough

  IRN RXC01488

  • CF30 Customer (9 Dec 2015 to 29 Sep 2016)
• Robert Francis Horan

  IRN RFH01054

  • 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] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (10 Mar 2014 to 8 Dec 2019)

No changes recorded yet.