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

• Sarah Emily Jane Millhouse

  IRN SEP01042

  • CF27 Investment Management (24 Jan 2002 to 28 Mar 2002)
• Scott Rawson Saunders

  IRN SRS01053

  • CF30 Customer (30 Jun 2008 to 31 Dec 2008)
• Sean Taylor

  IRN SXT00119

  • [FCA CF] Client dealing (2 Dec 2020 to 14 Jun 2023)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 14 Jun 2023)
• Sebastian Chalmers Carr

  IRN SCC01065

  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (14 Aug 2013 to 8 Dec 2019)
  • CF21 Investment Adviser (27 Mar 2007 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Seth Freedman

  IRN SXF01154

  • CF27 Investment Management (16 Apr 2002 to 31 May 2004)
  • CF21 Investment Adviser (19 Feb 2002 to 31 May 2004)
• Simon Anthony Gunning

  IRN SAG01054

  • 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] 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 3 Oct 2022)
  • CF30 Customer (20 Mar 2019 to 8 Dec 2019)
• Simon Austin McGarry

  IRN SAM01296

  • [FCA CF] Manager of certification employee (since 5 Sep 2023)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • CF30 Customer (22 Aug 2014 to 8 Dec 2019)
• Simon Chilton Murphy

  IRN SCM01072

  • [FCA CF] Functions requiring qualifications (1 Apr 2023 to 31 Dec 2024)
  • [FCA CF] Manager of certification employee (1 Apr 2023 to 29 Feb 2024)
  • [FCA CF] Client dealing (1 Apr 2023 to 31 Dec 2024)
• Simon Howard Moore

  IRN SHM00003

  • CF30 Customer (31 Dec 2013 to 20 Jan 2016)
• Simon John Wells

  IRN SJW01222

  • CF30 Customer (1 Nov 2007 to 18 Jun 2010)
  • CF21 Investment Adviser (23 Jul 2004 to 31 Oct 2007)
  • CF27 Investment Management (23 Jul 2004 to 31 Oct 2007)

No changes recorded yet.