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

• Andrew John Wilkinson

  IRN AJW01250

  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Manager of certification employee (since 2 Dec 2020)
  • CF30 Customer (19 Mar 2019 to 8 Dec 2019)
• Andrew Jonathan David Peskin

  IRN AJP01152

  • CF30 Customer (3 Mar 2008 to 1 Feb 2009)
• Andrew Mark Findlater

  IRN AMF00001

  • 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] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (21 Mar 2019 to 8 Dec 2019)
• Andrew Melrose-Cantouris

  IRN AJC01199

  • 14. Managing investments
  • [FCA CF] Client dealing (since 7 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 7 Apr 2023)
  • [FCA CF] Manager of certification employee (since 7 Apr 2023)
• Andrew Siu-Chung Pang

  IRN ASP01057

  • 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] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (13 Mar 2019 to 8 Dec 2019)
• Andrew Wallace Neil Banks

  IRN AWB01047

  • CF11 Money Laundering Reporting (9 Dec 2008 to 30 Aug 2010)
  • CF10 Compliance Oversight (9 Dec 2008 to 30 Aug 2010)
  • CF28 Systems and controls (1 Nov 2007 to 30 Aug 2010)
  • CF30 Customer (1 Nov 2007 to 3 May 2010)
  • CF14 Risk Assessment (25 May 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (25 May 2006 to 31 Oct 2007)
• Anna Chantal Marriette Trickey

  IRN AXT00115

  • [FCA CF] Significant management (since 4 Aug 2025)
  • [FCA CF] Material risk taker (since 2 Dec 2020)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 20 Nov 2023)
• Anni Timonen

  IRN AXT01871

  • [FCA CF] Client dealing (2 Dec 2020 to 4 Oct 2022)
  • CF30 Customer (5 Apr 2019 to 8 Dec 2019)
• Annik Elisabeth Jeanne Pastore

  IRN AEP01071

  • CF11 Money Laundering Reporting (7 Dec 2015 to 13 Apr 2016)
• Anthony David Carter

  IRN ADC01074

  • CF26 Customer Trading (26 Feb 2003 to 30 Jun 2004)

No changes recorded yet.