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.

• Joseph Connolly

  IRN JXC01401

  • [FCA CF] Material risk taker (since 23 Feb 2026)
  • [FCA CF] Client dealing (since 23 Feb 2026)
  • [FCA CF] Significant management (since 23 Feb 2026)
  • [FCA CF] Proprietary trader (since 23 Feb 2026)
  • [FCA CF] Manager of certification employee (since 23 Feb 2026)
• Julian Jonathan Morse

  IRN JJM01117

  • SMF1 Chief Executive (since 5 May 2021)
  • SMF3 Executive Director (since 27 Apr 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 May 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 13 May 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 13 May 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
• Jusbinder Kaur Haire

  IRN JKH01056

  • CF30 Customer (1 Nov 2007 to 31 Oct 2019)
  • CF21 Investment Adviser (18 Jul 2006 to 31 Oct 2007)
• Justin Kieran Townsend

  IRN JKT01010

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jan 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (16 May 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (16 May 2005 to 31 Oct 2007)
• Justin Raphael Zawoda-Martin

  IRN JRZ01002

  • [FCA CF] Significant management (26 Apr 2021 to 9 Sep 2023)
  • [FCA CF] Material risk taker (18 Mar 2021 to 9 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
• Katherine Juliette Davey

  IRN KJD01101

  • CF30 Customer (13 Aug 2008 to 26 Feb 2010)
• Kathryn Jennifer Birkin

  IRN KJB01110

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (11 Dec 2018 to 8 Dec 2019)
• Kenneth Addison Fleming

  IRN KAF01027

  • CF30 Customer (8 Oct 2008 to 2 Dec 2013)
• Kevin Malcolm Cammack

  IRN KMC01032

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Sep 2022)
  • CF30 Customer (17 Feb 2009 to 8 Dec 2019)
• Lacey Janel Beckett

  IRN LXB17660

  • [FCA CF] Proprietary trader (9 Dec 2019 to 27 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (25 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.