Carleton Partners LLP

Date authorised
1 April 2013
Companies House
OC326377
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    12 Finsbury Square
    London
    London
    EC2A 1AS
    UNITED KINGDOM
    Phone
    +4402030560306

  • Complaints Contact

    12 Finsbury Square
    London
    London
    EC2A 1AS
    UNITED KINGDOM
    Phone
    +4402030560306

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional

  • Investment Advice (no pensions)

    For Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Andrzej Plichta

    IRN AXP02288

    • [FCA CF] Manager of certification employee (18 Aug 2021 to 17 Mar 2022)
    • [FCA CF] Significant management (18 Aug 2021 to 17 Mar 2022)
    • SMF27 Partner (25 Jul 2021 to 17 Mar 2022)
    • SMF3 Executive Director (25 Jul 2021 to 17 Mar 2022)
  • Eric Christopher Brudos

    IRN ECB01034

    • CF4 Partner (16 Apr 2008 to 18 Aug 2014)
    • CF30 Customer (16 Apr 2008 to 18 Aug 2014)
    • CF3 Chief Executive (16 Apr 2008 to 18 Aug 2014)
    • CF11 Money Laundering Reporting (16 Apr 2008 to 18 Aug 2014)
    • CF10 Compliance Oversight (16 Apr 2008 to 18 Aug 2014)
  • Gemma Caller

    IRN GXC01877

    • Director of firm who is not a certification employee or a SMF manager (since 20 Aug 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (4 Sep 2014 to 8 Dec 2019)
  • Ginger Kaye Brudos

    IRN GKB01016

    • CF4 Partner (16 Apr 2008 to 6 Apr 2011)
  • Ivan Sergeevich Cherkasov

    IRN ISC01038

    • CF30 Customer (16 Apr 2008 to 19 May 2011)
  • Lee Caller

    IRN LXC01474

    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • [FCA CF] Significant management (since 1 Jan 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF3 Chief Executive (18 Sep 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Apr 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Apr 2014 to 8 Dec 2019)
    • CF4 Partner (3 Jun 2011 to 8 Dec 2019)
    • CF30 Customer (4 Mar 2010 to 8 Dec 2019)
  • Scott Martin

    IRN SXM01006

    • [FCA CF] Client dealing (9 Oct 2023 to 6 Jun 2025)
    • [PRA CF] Significant risk taker or Material risk taker (15 Mar 2022 to 6 Jun 2025)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.