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

• Curtis Malcolm Childs

  IRN CMC01087

  • CF29 Significant management (1 Nov 2007 to 22 Feb 2011)
  • CF30 Customer (1 Nov 2007 to 22 Feb 2011)
  • CF1 Director (25 May 2006 to 22 Feb 2011)
  • CF27 Investment Management (25 May 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (25 May 2006 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (25 May 2006 to 31 Oct 2007)
• Daniel Coleman

  IRN DCC01047

  • [FCA CF] Manager of certification employee (2 Dec 2020 to 11 Mar 2022)
  • [FCA CF] Client dealing (2 Dec 2020 to 13 May 2022)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 13 May 2022)
  • CF30 Customer (2 May 2019 to 8 Dec 2019)
• Daniel Craig Smith

  IRN DCS01165

  • [FCA CF] Client dealing (30 Jan 2023 to 22 Jul 2025)
  • CF30 Customer (14 May 2019 to 8 Dec 2019)
• Daniel James Bunting

  IRN DJB01234

  • CF30 Customer (1 Nov 2007 to 8 Oct 2012)
  • CF21 Investment Adviser (12 Sep 2007 to 31 Oct 2007)
• Daniel John Adams

  IRN DJA01162

  • [FCA CF] Functions requiring qualifications (7 Apr 2023 to 7 Dec 2023)
  • [FCA CF] Client dealing (7 Apr 2023 to 7 Dec 2023)
• Daniel John Smith

  IRN DJS01225

  • CF26 Customer Trading (2 May 2002 to 2 Aug 2002)
• Daniel Joseph Daviau

  IRN DJD01238

  • SMF7 Group Entity Senior Manager (since 9 Dec 2019)
  • CF2 Non Executive Director (9 Dec 2016 to 8 Dec 2019)
• Daniel Mandler

  IRN DXM01406

  • CF30 Customer (1 Nov 2007 to 1 Nov 2010)
  • CF21 Investment Adviser (8 Feb 2007 to 31 Oct 2007)
  • CF27 Investment Management (8 Feb 2007 to 31 Oct 2007)
• Daniel Parmar

  IRN DXP01227

  • 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
  • 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)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 15 Apr 2025)
  • CF30 Customer (21 Dec 2012 to 8 Dec 2019)
• Daniel Roberts

  IRN RXD01135

  • CF30 Customer (11 Jul 2011 to 28 Sep 2011)

No changes recorded yet.