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

• Simon Neil Joseph Litchfield

  IRN SNL01012

  • CF30 Customer (17 Mar 2009 to 15 May 2009)
• Simon Nicholas Park

  IRN SNP01015

  • CF26 Customer Trading (20 Feb 2002 to 2 Aug 2002)
• Simon Raggett

  IRN SJR01142

  • 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 (since 2 Dec 2020)
  • CF30 Customer (18 Mar 2019 to 8 Dec 2019)
• Sophie Kane

  IRN SXK00439

  • [FCA CF] Client dealing (1 Apr 2023 to 11 Aug 2023)
• Stephen Brindle

  IRN SXB01363

  • CF21 Investment Adviser (19 Aug 2004 to 2 Mar 2007)
• Stephen Leigh Massey

  IRN SLM01042

  • SMF13 Chair of the Nominations Committee (since 5 Mar 2021)
  • SMF12 Chair of the Remuneration Committee (since 5 Mar 2021)
  • SMF9 Chair of the Governing Body (since 12 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 22 Jul 2020)
  • CF3 Chief Executive (29 Jul 2011 to 2 Oct 2012)
  • CF30 Customer (1 Nov 2007 to 24 Jul 2019)
  • CF1 Director (23 Mar 2006 to 8 Dec 2019)
  • CF27 Investment Management (31 Mar 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (31 Mar 2004 to 31 Oct 2007)
  • CF2 Non Executive Director (9 Jan 2004 to 23 Mar 2006)
• Stephen Michael Blakemore

  IRN SMB01306

  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 18 Aug 2022)
  • [FCA CF] Client dealing (2 Dec 2020 to 18 Aug 2022)
  • CF30 Customer (25 Mar 2019 to 8 Dec 2019)
• Steven Wood

  IRN SJW01275

  • CF30 Customer (27 Nov 2012 to 21 Jan 2016)
• Stewart Wright

  IRN SXW00168

  • 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 6 Dec 2023)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (30 Nov 2022 to 30 Jun 2023)
• Stuart Ian Donald

  IRN SID01003

  • CF26 Customer Trading (1 Dec 2001 to 7 Mar 2003)

No changes recorded yet.