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.

• Ian Derek Soanes

  IRN IDS01029

  • CF30 Customer (1 Nov 2007 to 28 Jul 2016)
  • CF23 Corporate Finance Adviser (12 May 2005 to 31 Oct 2007)
• Ian Peter Graham

  IRN IXG00055

  • [FCA CF] Significant management (9 Dec 2019 to 12 Aug 2020)
• Ian Taylor Berry

  IRN ITB01010

  • CF30 Customer (1 Nov 2007 to 17 Oct 2012)
  • CF21 Investment Adviser (12 Apr 2007 to 31 Oct 2007)
• Ivonne Cantu

  IRN IXC01094

  • CF30 Customer (1 Nov 2007 to 16 Oct 2017)
  • CF23 Corporate Finance Adviser (9 Feb 2006 to 31 Oct 2007)
• JOHN EDWARD THOMAS Sharp

  IRN JES01128

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (26 Feb 2007 to 31 Oct 2007)
• Jack Phillips

  IRN JXP00345

  • SMF16 Compliance Oversight (since 22 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jun 2023)
  • [FCA CF] Material risk taker (since 12 May 2021)
  • [FCA CF] Material risk taker (3 Apr 2020 to 12 May 2021)
• James Edward Foster

  IRN JEF01036

  • [FCA CF] Manager of certification employee (since 8 Feb 2021)
  • [FCA CF] Significant management (since 8 Feb 2021)
  • [FCA CF] Material risk taker (since 8 Feb 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • CF30 Customer (4 Jan 2011 to 8 Dec 2019)
• James Edward King

  IRN JEK01031

  • [FCA CF] Material risk taker (26 Apr 2021 to 26 Dec 2024)
  • [FCA CF] Significant management (26 Apr 2021 to 26 Dec 2024)
  • [FCA CF] Manager of certification employee (5 Jan 2021 to 26 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Dec 2024)
• James Fletcher

  IRN JXF01724

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Feb 2022)
  • CF30 Customer (20 Dec 2013 to 8 Dec 2019)
• James John Durkin

  IRN JJD01040

  • SMF1 Chief Executive (9 Dec 2019 to 12 May 2021)
  • SMF3 Executive Director (9 Dec 2019 to 12 May 2021)
  • CF3 Chief Executive (19 Dec 2011 to 31 Jul 2017)
  • CF1 Director (10 Jun 2008 to 25 Nov 2009)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2017)
  • CF21 Investment Adviser (10 Mar 2005 to 31 Oct 2007)

• 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.