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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• 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 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.

• 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 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.

• 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.

• Selwyn Proctor Jones

  IRN SPJ01032

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (14 Sep 2009 to 8 Dec 2019)
• Shamus Alec Henderson

  IRN SAH01087

  • CF30 Customer (6 Nov 2012 to 18 Oct 2019)
• Simon Charles Melling

  IRN SCM01085

  • CF3 Chief Executive (13 Jul 2009 to 13 Dec 2011)
  • CF28 Systems and controls (1 Nov 2007 to 13 Dec 2011)
  • CF14 Risk Assessment (24 Oct 2006 to 31 Oct 2007)
  • CF1 Director (24 Oct 2006 to 16 Dec 2011)
  • CF13 Finance (24 Oct 2006 to 31 Oct 2007)
• Simon Henry Mooney

  IRN SHM01053

  • CF30 Customer (1 Nov 2007 to 1 Sep 2008)
  • CF21 Investment Adviser (7 Sep 2007 to 31 Oct 2007)
• Simon James French

  IRN SJF01182

  • CF30 Customer (16 Jul 2014 to 18 May 2018)
• Simon Mark Strong

  IRN SMS01099

  • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Jul 2021)
  • CF30 Customer (2 Mar 2015 to 8 Dec 2019)
• Simon Timothy Southwood

  IRN STS01030

  • CF30 Customer (1 Nov 2007 to 15 May 2008)
  • CF23 Corporate Finance Adviser (17 Jun 2005 to 31 Oct 2007)
• Stephen Robert Handy

  IRN SRH01068

  • CF30 Customer (1 Nov 2007 to 30 Sep 2009)
  • CF21 Investment Adviser (10 Mar 2005 to 31 Oct 2007)
• Stephen Shaw Keys

  IRN SSK01008

  • [FCA CF] Significant management (12 May 2021 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)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (1 Feb 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (23 Jan 2007 to 1 Feb 2007)
• Steven Howard Cox

  IRN SHC01024

  • CF30 Customer (8 Aug 2016 to 28 Feb 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.