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.

• James John McNeil

  IRN JJM01105

  • CF23 Corporate Finance Adviser (5 Jul 2006 to 20 Feb 2007)
  • CF1 Director (5 Jul 2006 to 20 Feb 2007)
• James McCormack

  IRN JXM04018

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (24 Aug 2018 to 8 Dec 2019)
• Jamie Dunleavy

  IRN JXD00499

  • [FCA CF] Proprietary trader (since 26 Sep 2023)
  • [FCA CF] Client dealing (since 26 Sep 2023)
• Jason Lee Holden

  IRN JLH01065

  • CF30 Customer (15 Dec 2009 to 18 Nov 2014)
• Jasper Berry

  IRN JLB01060

  • [FCA CF] Client dealing (27 Apr 2022 to 9 Sep 2023)
• Jeffrey Lindsey Hewitt

  IRN JLH01151

  • CF2 Non Executive Director (25 Sep 2008 to 8 Dec 2019)
• Jemma Elizabeth Paterson

  IRN JEP01154

  • CF30 Customer (21 Apr 2010 to 31 Jan 2011)
• Jeremy Carlisle Warner-Allen

  IRN JCW01096

  • CF1 Director (4 Jul 2012 to 22 Nov 2016)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2016)
  • CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
• Jeremy Joseph Scott Osler

  IRN JJO01044

  • SMF3 Executive Director (5 May 2021 to 22 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 May 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 May 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 12 May 2021)
  • CF30 Customer (6 Apr 2016 to 8 Dec 2019)
• Jeremy Ronald St Miller

  IRN JRM01102

  • [FCA CF] Manager of certification employee (3 Apr 2020 to 12 May 2021)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2023)
  • CF2 Non Executive Director (23 Jul 2019 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.