Cavendish Securities PLC

Date authorised
1 April 2013
Companies House
05210733
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alexander John Howard Collins

    IRN AJC01266

    • CF30 Customer (13 Feb 2017 to 4 Oct 2019)
  • Alexandra Jane Louise Aylen

    IRN AJA01153

    • CF30 Customer (15 Apr 2008 to 12 Jul 2018)
  • Amber Alexandra Wood

    IRN AAR01062

    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Apr 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Apr 2023)
    • CF11 Money Laundering Reporting (5 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Nov 2019 to 8 Dec 2019)
  • Andrew Brooke

    IRN AEB01046

    • CF30 Customer (1 Nov 2007 to 29 Jul 2010)
    • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
  • Andrew Christopher Baker

    IRN ACB01100

    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (21 Dec 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (21 Dec 2005 to 31 Oct 2007)
  • Andrew David Saunders

    IRN ADS01082

    • CF30 Customer (13 Jan 2015 to 30 Apr 2018)
  • Andrew Davies

    IRN APD01059

    • CF30 Customer (1 Nov 2007 to 18 Jul 2011)
    • CF21 Investment Adviser (21 Aug 2006 to 31 Oct 2007)
  • Andrew Gregory Stott

    IRN AGS01060

    • CF21 Investment Adviser (4 Dec 2006 to 1 May 2007)
  • Andrew John Boorman

    IRN AJB01452

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 8 Sep 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 8 Sep 2023)
    • CF2 Non Executive Director (13 Nov 2017 to 8 Dec 2019)
  • Andrew John Bryant

    IRN AJB01420

    • CF30 Customer (12 Feb 2010 to 18 Nov 2014)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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