Cavendish Securities PLC

• Principal Place of Business

  One Bartholomew Court

  London

  EC1A 7BL

  UNITED KINGDOM

  Phone

  +4402072200500

  Web

  https://www.cavendish.com

• Complaints Contact

  One Bartholomew Court

  London

  EC1A 7BL

  UNITED KINGDOM

  Phone

  +4402072200500

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), 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 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.

• Stockbroking

  For Eligible Counterparty, 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 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.

• Trades With You Directly

  For Eligible Counterparty, 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 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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 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.

• ALEXANDER CHRISTIAN De Groote

  IRN ACD01049

  • CF30 Customer (24 Apr 2017 to 30 Apr 2018)
• ANDREW Gibb

  IRN AAG01034

  • [FCA CF] Client dealing (25 Apr 2022 to 12 Apr 2024)
• Adam Euan Rae

  IRN AXR00510

  • [FCA CF] Client dealing (19 Jan 2022 to 9 Sep 2023)
• Adam Philip Crickmay

  IRN APC01097

  • [FCA CF] Proprietary trader (17 May 2022 to 9 Jul 2024)
  • [FCA CF] Client dealing (17 May 2022 to 9 Jul 2024)
• Adrian Laurence Hargrave

  IRN ALH01049

  • CF30 Customer (1 Nov 2007 to 1 Jan 2010)
  • CF23 Corporate Finance Adviser (4 Jul 2005 to 31 Oct 2007)
• Adrian Peter Hadden

  IRN APH01088

  • [FCA CF] Client dealing (10 May 2022 to 9 Sep 2023)
• Alaina Ho-Kwan Wong

  IRN AXW13227

  • CF30 Customer (9 Apr 2019 to 8 Nov 2019)
• Alan Geoffrey Stewart

  IRN AGS01057

  • CF30 Customer (16 Apr 2009 to 28 Feb 2015)
• Alan Wilkinson Ray

  IRN AWR01026

  • CF30 Customer (1 Nov 2007 to 23 Oct 2017)
  • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
• Alexander Christian Pollen

  IRN ACP01161

  • [FCA CF] Material risk taker (18 Mar 2021 to 31 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • CF30 Customer (5 Oct 2018 to 8 Dec 2019)

• Highland Capital Partners Limited (no longer appointed)

  FRN 563535 · Appointed 22 Mar 2013 · Until 7 Apr 2016

• HLFM Limited (no longer appointed)

  FRN 468569 · Appointed 1 Jun 2007 · Until 6 Feb 2012

No changes recorded yet.