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

• Stuart Martin Balfour Dickson

  IRN SMD01051

  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 1 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2023)
• Stuart Neville Brookes

  IRN SNB01015

  • SMF18 Other Overall Responsibility (since 9 Dec 2019)
  • CF10a CASS Oversight function (17 May 2019 to 8 Dec 2019)
• Stuart Raymond Julian

  IRN SRJ01031

  • CF30 Customer (2 Oct 2008 to 15 May 2009)
• Susan Joan Boyd

  IRN SJB01334

  • [FCA CF] Manager of certification employee (1 Apr 2023 to 15 Apr 2025)
  • [FCA CF] Client dealing (1 Apr 2023 to 19 Dec 2025)
  • [FCA CF] Functions requiring qualifications (1 Apr 2023 to 19 Dec 2025)
• Symon Michael Hawken

  IRN SMH01082

  • [FCA CF] Manager of certification employee (2 Dec 2020 to 30 Sep 2022)
  • [FCA CF] Client dealing (2 Dec 2020 to 31 Mar 2023)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 31 Mar 2023)
  • CF30 Customer (11 Dec 2012 to 8 Dec 2019)
• Tania Lambert

  IRN TXL00196

  • [FCA CF] Client dealing (30 Sep 2022 to 6 Mar 2023)
• Terrence Allan Lyons

  IRN TXL01210

  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 7 Oct 2020)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 7 Oct 2020)
  • CF2 Non Executive Director (2 Oct 2012 to 8 Dec 2019)
• Thea Alice Chisnall

  IRN TXC00438

  • [FCA CF] Client dealing (since 16 Aug 2024)
• Thea Margaret Fforde

  IRN TMF01038

  • CF11 Money Laundering Reporting (20 Aug 2015 to 24 Sep 2015)
• Thomas Arthur Smeeton Leah

  IRN TAL01033

  • CF30 Customer (27 May 2009 to 1 Oct 2012)

No changes recorded yet.