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.

• Calvin Gregory-Lilley

  IRN CXG00194

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2024)
• Cameron David Magnus MacRitchie

  IRN CXM00355

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Feb 2021)
• Camilla Harriet Olivia Hume

  IRN CHH01026

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 13 Jun 2014)
  • CF21 Investment Adviser (28 Feb 2007 to 31 Oct 2007)
• Charles Henry Charlton Combe

  IRN CHC01059

  • [FCA CF] Client dealing (6 May 2022 to 9 Sep 2023)
• Charles John Bernard Hope Henderson

  IRN CJH01305

  • CF30 Customer (28 May 2008 to 27 Jun 2013)
• Charles Michael Thomas Ricketts

  IRN CMR01075

  • CF30 Customer (1 Nov 2007 to 3 Nov 2014)
  • CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
• Charlie Evans

  IRN CXE00123

  • [FCA CF] Client dealing (since 26 Sep 2023)
  • [FCA CF] Proprietary trader (since 26 Sep 2023)
• Charlie James Woolmer

  IRN CXW00458

  • [FCA CF] Client dealing (since 16 Jun 2022)
  • [FCA CF] Proprietary trader (since 16 Jun 2022)
• Christian Heron Taurus Hobart

  IRN CHH01013

  • CF30 Customer (1 Nov 2007 to 20 Nov 2014)
  • CF21 Investment Adviser (27 Jul 2006 to 31 Oct 2007)
• Christopher Alex Golden

  IRN CAG01097

  • CF30 Customer (4 Nov 2013 to 28 Jul 2016)

• 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.