Cavendish Securities PLC

Date authorised
1 April 2013
Companies House
05210733
Last scraped
2 weeks ago
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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.

  • Andrew Marshall Stewart

    IRN AMS01126

    • CF2 Non Executive Director (11 Mar 2010 to 20 Jul 2010)
    • CF30 Customer (1 Nov 2007 to 20 Jul 2010)
    • CF3 Chief Executive (10 Mar 2005 to 30 Jun 2009)
    • CF21 Investment Adviser (10 Mar 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (10 Mar 2005 to 19 May 2007)
    • CF10 Compliance Oversight (10 Mar 2005 to 19 May 2007)
    • CF1 Director (10 Mar 2005 to 25 Feb 2010)
    • CF8 Apportionment and Oversight (10 Mar 2005 to 31 Oct 2007)
  • Andrew Michael Worne

    IRN AMW01087

    • [FCA CF] Proprietary trader (9 Dec 2019 to 9 Sep 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
    • CF30 Customer (18 Jul 2016 to 8 Dec 2019)
  • Andrew Renton

    IRN ACR01136

    • [FCA CF] Client dealing (23 Nov 2021 to 9 Sep 2023)
  • Andrew Robert Blain

    IRN ARB01196

    • CF30 Customer (16 Apr 2012 to 1 Jun 2017)
  • Andrew Roberts

    IRN AXR01531

    • CF30 Customer (1 Nov 2007 to 8 Apr 2015)
    • CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
  • Andrew William Goodwin

    IRN AWG01021

    • CF30 Customer (1 Nov 2007 to 15 May 2008)
    • CF21 Investment Adviser (1 Feb 2006 to 31 Oct 2007)
  • Angela Gray

    IRN AXG02379

    • CF30 Customer (16 Sep 2014 to 18 Apr 2016)
  • Anna Elizabeth Sullivan

    IRN AXS00594

    • [FCA CF] Significant management (9 Dec 2019 to 1 Jun 2020)
  • Anna Maria Heritier De La Roche

    IRN AMH01216

    • CF11 Money Laundering Reporting (26 Jun 2007 to 31 Jan 2012)
    • CF10 Compliance Oversight (26 Jun 2007 to 31 Jan 2012)
  • Anthony Charles Hotson

    IRN ACH01072

    • CF1 Director (1 Aug 2017 to 12 Aug 2019)
    • CF3 Chief Executive (1 Aug 2017 to 12 Aug 2019)
    • CF30 Customer (1 Aug 2017 to 31 Aug 2019)
    • CF2 Non Executive Director (1 Jun 2012 to 1 Aug 2017)
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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.

No changes recorded yet.