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

• Wallace Pollock Wormley

  IRN WPW01002

  • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
  • CF21 Investment Adviser (3 Feb 2006 to 31 Oct 2007)
  • CF27 Investment Management (3 Feb 2006 to 31 Oct 2007)
• Walter Andrew Johnson-Cole

  IRN WAJ01005

  • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Nov 2008)
  • CF10 Compliance Oversight (1 Dec 2001 to 28 Nov 2008)
• Wayne Martel

  IRN WXM01462

  • SMF4 Chief Risk (since 9 Dec 2019)
  • SMF2 Chief Finance (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF5 Head of Internal Audit (9 Dec 2019 to 19 Apr 2024)
  • CF1 Director (3 Dec 2019 to 8 Dec 2019)
  • CF28 Systems and controls (19 Sep 2017 to 8 Dec 2019)
• William David John Neal

  IRN WXN00038

  • 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 16 May 2024)
  • [FCA CF] Functions requiring qualifications (since 16 May 2024)
• William Hollis

  IRN WXH00094

  • [FCA CF] Functions requiring qualifications (30 Nov 2022 to 11 Jul 2023)
  • [FCA CF] Client dealing (16 Mar 2022 to 25 Aug 2023)
• William Michael Gregg

  IRN WMG01023

  • CF30 Customer (27 Jul 2009 to 24 Oct 2011)
• William Michael Wood

  IRN WMW01022

  • CF30 Customer (1 Nov 2007 to 20 Oct 2008)
  • CF26 Customer Trading (19 Dec 2002 to 31 Oct 2007)
• Zachary Bharucha

  IRN ZXB01006

  • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
  • CF27 Investment Management (7 Aug 2007 to 31 Oct 2007)
  • CF26 Customer Trading (7 Aug 2007 to 31 Oct 2007)

No changes recorded yet.