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

  Show 1 limitation Hide limitations

  • · 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

• Bilal Mohammed

  IRN BXM00174

  • [FCA CF] Client dealing (2 Mar 2021 to 14 Jul 2023)
• Bradley Kotush

  IRN BWK01003

  • CF2 Non Executive Director (19 Jul 2013 to 9 Feb 2017)
• Bruce Douglas Hayden Froud

  IRN BDF01008

  • CF1 Director (23 Oct 2009 to 29 Jul 2011)
  • CF29 Significant management (27 May 2008 to 29 Jul 2011)
  • CF30 Customer (27 May 2008 to 29 Jul 2011)
• Callum Hamilton Davies

  IRN CHD01044

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on 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)
  • CF30 Customer (19 Mar 2019 to 8 Dec 2019)
• Cameron Glasgow

  IRN CXG01112

  • [FCA CF] Client dealing (1 Apr 2023 to 31 Mar 2026)
  • [FCA CF] Functions requiring qualifications (1 Apr 2023 to 31 Mar 2026)
• Catherine Lorraine Mitschele

  IRN CLM01057

  • CF27 Investment Management (16 Jan 2003 to 21 May 2003)
  • CF21 Investment Adviser (16 Jan 2003 to 21 May 2003)
• Charles Benjamin Lionel Cohen

  IRN CBC01016

  • [FCA CF] Manager of certification employee (2 Dec 2020 to 30 Sep 2023)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 30 Sep 2023)
  • [FCA CF] Client dealing (2 Dec 2020 to 30 Sep 2023)
  • CF30 Customer (13 Jan 2016 to 8 Dec 2019)
• Charles Thomas Lloyd Sanderson

  IRN CTS01017

  • CF30 Customer (1 Nov 2007 to 21 Apr 2008)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
  • CF27 Investment Management (9 Oct 2006 to 31 Oct 2007)
• Charlotte Green

  IRN CXG00408

  • [FCA CF] Client dealing (30 Nov 2022 to 22 Jun 2023)
• Chelsea McCormack

  IRN CXM00619

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

No changes recorded yet.