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

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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 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

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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.

• 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

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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.

• 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

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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 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.

• Gregor John Paterson

  IRN GJP01073

  • CF30 Customer (14 Sep 2010 to 17 Oct 2017)
• Gwilym Rhys Leyshon Jennett

  IRN GRJ01025

  • CF30 Customer (3 Jun 2009 to 31 Jan 2011)
• Harry John Hargreaves

  IRN HJH01067

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Feb 2021)
  • CF30 Customer (20 Jul 2016 to 8 Dec 2019)
• Harry Pardoe

  IRN HXP01247

  • CF30 Customer (29 Oct 2014 to 1 Aug 2017)
• Heath Snyder

  IRN HXS01201

  • CF30 Customer (22 May 2017 to 5 Jul 2018)
• Henry Oscar Nicol

  IRN HXN20944

  • [FCA CF] Client dealing (7 Jul 2021 to 9 Sep 2023)
• Hunter DuBose

  IRN HXD01170

  • CF30 Customer (16 Jul 2013 to 24 Jul 2014)
• Iain William MacArthur

  IRN IWM01021

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (4 Dec 2009 to 8 Dec 2019)
• Ian Anthony Vogt

  IRN IAV01002

  • CF30 Customer (5 May 2009 to 31 Jan 2011)
• Ian David McInally

  IRN IDM01045

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (14 Jun 2010 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.