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

  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

• Ryan Andrew Norman

  IRN RXN00151

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 15 Jun 2023)
  • [FCA CF] Client dealing (since 7 Apr 2023)
• Ryan Lindsay

  IRN RXL01113

  • CF26 Customer Trading (1 Dec 2001 to 29 May 2003)
• Sally Jennifer Tennant

  IRN SJT01095

  • Director of firm who is not a certification employee or a SMF manager (2 Aug 2021 to 21 Mar 2023)
• Sam Ruddlesdin

  IRN SXR00643

  • [FCA CF] Client dealing (since 2 Mar 2026)
  • [FCA CF] Client dealing (30 Nov 2022 to 26 Jun 2023)
• Sandra Mary Goodwin

  IRN SMG01071

  • CF30 Customer (1 Nov 2007 to 9 Nov 2012)
  • CF21 Investment Adviser (8 Feb 2007 to 31 Oct 2007)
  • CF27 Investment Management (8 Feb 2007 to 31 Oct 2007)
• Sandra Ovcina

  IRN SXO11493

  • [FCA CF] Client dealing (2 Dec 2020 to 19 Aug 2022)
  • CF30 Customer (4 Apr 2019 to 8 Dec 2019)
• Sandy Carrick-Buchanan

  IRN SXC00344

  • CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2002)
• Sanjeev Chopra

  IRN SXC01343

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

  IRN SXA00254

  • [FCA CF] Client dealing (2 Mar 2021 to 14 Sep 2023)
• Sara Tremayne Taylor

  IRN STT01010

  • CF30 Customer (30 Jun 2008 to 14 Aug 2013)

No changes recorded yet.