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.

• Maxim Harold Hartley

  IRN MHH01039

  • [FCA CF] Material risk taker (18 Mar 2021 to 26 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jun 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (3 Aug 2006 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (3 Aug 2006 to 31 Oct 2007)
• Maximillian Charles Gould

  IRN MXG00269

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2023)
• Michael Barry Chilton

  IRN MBC01061

  • CF1 Director (21 Apr 2011 to 4 Aug 2017)
  • CF28 Systems and controls (21 Apr 2011 to 4 Aug 2017)
• Michael Edward Janes

  IRN MXJ01218

  • CF30 Customer (1 Nov 2007 to 8 Nov 2019)
  • CF21 Investment Adviser (18 Jul 2006 to 31 Oct 2007)
• Michael Frederick James Johnson

  IRN MXJ01568

  • [FCA CF] Significant management (12 May 2021 to 9 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (27 Oct 2014 to 8 Dec 2019)
• Michael John Paul Marks

  IRN MJM01269

  • CF2 Non Executive Director (10 Mar 2005 to 20 Feb 2007)
• Navid Malik

  IRN NXM01182

  • CF30 Customer (11 Jan 2012 to 4 Nov 2015)
• Neil James McDonald

  IRN NJM01176

  • [FCA CF] Significant management (1 Jan 2021 to 9 Sep 2023)
  • [FCA CF] Material risk taker (1 Jan 2021 to 9 Sep 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (16 Aug 2011 to 8 Dec 2019)
• Nicholas George Selby Tulloch

  IRN NGT01012

  • CF30 Customer (9 Jun 2014 to 17 Oct 2017)
• Nicholas Peter Hawkins

  IRN NPH01023

  • CF30 Customer (1 Sep 2008 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.