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.

• Robin Bernard Houssemayne Du Boulay

  IRN RBD01009

  • CF30 Customer (4 Jul 2013 to 31 Mar 2016)
• Rosie-May Crowe

  IRN RXC02312

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Apr 2023)
  • CF30 Customer (12 May 2017 to 8 Dec 2019)
• Ross Michael Hammond

  IRN RMH01197

  • CF30 Customer (16 Apr 2018 to 18 Oct 2019)
• Russell David Kerr

  IRN RDK01024

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Jul 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Aug 2006 to 31 Oct 2007)
• Russell Paul Cook

  IRN RPC01020

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Aug 2021)
  • CF30 Customer (11 Dec 2018 to 8 Dec 2019)
• Samir Rasik Shah

  IRN SXS01419

  • [FCA CF] Client dealing (10 Nov 2021 to 4 Aug 2023)
• Sandy Winthrop Chen

  IRN SWC01044

  • CF30 Customer (8 Nov 2011 to 7 Jun 2019)
• Sapna Hasmukhrai Shah

  IRN SXS01788

  • CF30 Customer (11 Jul 2012 to 8 Nov 2019)
• Sara Victoria Carter

  IRN SVC01003

  • CF30 Customer (23 Jan 2009 to 1 Apr 2010)
• Sebastian Godfrey Michael Wykeham

  IRN SGW01040

  • CF30 Customer (9 Jun 2014 to 23 Oct 2017)

• 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.