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.

• Lee Brian Hibberd

  IRN LBH00009

  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (16 Apr 2008 to 8 Dec 2019)
• Leif Powis

  IRN LXP01418

  • [FCA CF] Manager of certification employee (26 Feb 2021 to 1 Jan 2025)
  • [FCA CF] Material risk taker (26 Feb 2021 to 1 Jan 2025)
  • [FCA CF] Significant management (1 Jan 2021 to 1 Jan 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2025)
  • CF30 Customer (18 Jun 2014 to 8 Dec 2019)
• Lisa Gordon

  IRN LXG53186

  • SMF9 Chair of the Governing Body (10 Jun 2020 to 9 Sep 2023)
• Lorraine Marie McNeely

  IRN LXM01389

  • CF30 Customer (1 Jun 2009 to 31 Jan 2011)
• Marcus Tregoning

  IRN MXT01690

  • CF30 Customer (28 Sep 2010 to 3 Jan 2016)
• Mark Jon Gibbons

  IRN MJG01160

  • [FCA CF] Significant management (9 Dec 2019 to 5 Feb 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Feb 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 5 Feb 2021)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 5 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Feb 2021)
  • CF30 Customer (20 Jan 2009 to 8 Dec 2019)
• Mark Stanley Head

  IRN MSH01046

  • CF30 Customer (2 Dec 2013 to 5 Jun 2017)
• Mark Vincent Connelly

  IRN MVC01010

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2023)
  • CF30 Customer (19 May 2014 to 8 Dec 2019)
• Martin Paul O'Sullivan

  IRN MPO01031

  • CF30 Customer (17 Feb 2010 to 1 Aug 2017)
• Martin Richard Green

  IRN MRG01065

  • CF30 Customer (7 May 2009 to 30 Nov 2011)

• 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.