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.

• Oliver Holmes

  IRN OXH14634

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Apr 2021)
  • CF30 Customer (15 May 2019 to 8 Dec 2019)
• Oliver Thomas Baxendale

  IRN OXB01176

  • CF30 Customer (6 Jan 2014 to 10 Jan 2017)
• Paul Antony Modlock

  IRN PAM01115

  • CF30 Customer (11 May 2017 to 31 Oct 2019)
• Paul David Roy

  IRN PDR01030

  • CF2 Non Executive Director (10 Mar 2005 to 30 Sep 2010)
• Paul Joseph Hodges

  IRN PJH01188

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Mar 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Mar 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Mar 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 12 Mar 2020)
  • CF1 Director (10 Jul 2012 to 18 Sep 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Mar 2005 to 31 Oct 2007)
• Paul Morris Christopher Harrington

  IRN PXH01258

  • CF30 Customer (1 Nov 2007 to 1 Dec 2008)
  • CF21 Investment Adviser (17 Aug 2006 to 31 Oct 2007)
• Paul Robert Palmer

  IRN PRP01043

  • CF30 Customer (1 Nov 2007 to 11 Jun 2010)
  • CF26 Customer Trading (10 Aug 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (10 Aug 2006 to 31 Oct 2007)
• Peter David Sullivan

  IRN PDS01116

  • CF2 Non Executive Director (14 Oct 2008 to 10 May 2012)
• Peter Frank Hindmarsh

  IRN PFH01026

  • CF30 Customer (25 Jun 2009 to 11 Mar 2011)
• Peter James Lynch

  IRN PXL00149

  • [FCA CF] Client dealing (22 Oct 2020 to 9 Sep 2023)

• 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.