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.

• Nicholas Peter Searle

  IRN NPS01032

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Apr 2021)
  • CF30 Customer (18 Mar 2015 to 8 Dec 2019)
• Nicholas Richard Feldman

  IRN NRF01023

  • CF30 Customer (1 Sep 2011 to 18 Dec 2013)
• Nicholas Weston Wells

  IRN NWW01006

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2022)
  • CF1 Director (13 Oct 2015 to 17 May 2017)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (18 May 2005 to 31 Oct 2007)
• Nicola Jane Butler

  IRN NXB00196

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • [FCA CF] Significant management (since 24 Aug 2020)
• Nirmal Vijay Patel

  IRN NVP01008

  • CF30 Customer (7 Jul 2010 to 3 Nov 2010)
• OLIVER RATCLIFF

  IRN OXR00053

  • [FCA CF] Proprietary trader (26 Sep 2023 to 17 Sep 2024)
  • [FCA CF] Client dealing (26 Sep 2023 to 17 Sep 2024)
• Oliver Bernard Ellingham

  IRN OBE01001

  • CF2 Non Executive Director (13 Aug 2010 to 4 Jul 2011)
• Oliver Edward Goad

  IRN OEG01000

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Apr 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Mar 2005 to 31 Oct 2007)
• Oliver George Houghton

  IRN OXH12609

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Sep 2020)
  • CF30 Customer (20 Mar 2019 to 8 Dec 2019)
• Oliver Henry Packard

  IRN OHP01002

  • CF30 Customer (27 May 2014 to 8 Nov 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.