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.

• John Edward Bacon

  IRN JEB01092

  • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
  • CF21 Investment Adviser (10 Mar 2005 to 31 Oct 2007)
• John Farrugia

  IRN JXF01195

  • SMF3 Executive Director (since 19 Apr 2024)
• John Frame Allardyce

  IRN JFA01032

  • CF30 Customer (14 Jul 2014 to 17 Oct 2017)
• John Francis Mennis

  IRN JFM01042

  • CF30 Customer (21 Oct 2013 to 31 Oct 2017)
• John Hodson

  IRN JHH01038

  • CF2 Non Executive Director (25 Aug 2006 to 29 Mar 2010)
• John Joseph Nally

  IRN JJN01012

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 26 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Feb 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Feb 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 26 Feb 2021)
  • CF1 Director (28 Jun 2012 to 18 Sep 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (11 May 2005 to 31 Oct 2007)
• John William Hewitson

  IRN JWH01059

  • [FCA CF] Proprietary trader (since 26 Sep 2023)
  • [FCA CF] Client dealing (since 26 Sep 2023)
• John-Marc Alexander Bunce

  IRN JAB01390

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (3 Dec 2015 to 8 Dec 2019)
• Jonathan Fitzpatrick

  IRN JSF01036

  • CF30 Customer (8 Oct 2008 to 22 Nov 2013)
• Jonathon Alexander Webb

  IRN JAW01354

  • CF30 Customer (12 May 2017 to 29 Nov 2018)

• 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.