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.

• Daniel Maurice Balabanoff

  IRN DMB01204

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (10 Sep 2019 to 8 Dec 2019)
• David Jason Fairbairn

  IRN DJF01115

  • [FCA CF] Proprietary trader (since 27 Sep 2023)
  • [FCA CF] Client dealing (since 27 Sep 2023)
• David Jeffrey Cooper

  IRN DJC01424

  • CF10 Compliance Oversight (14 Sep 2012 to 11 Jan 2017)
  • CF11 Money Laundering Reporting (14 Sep 2012 to 11 Jan 2017)
• David John Greenall

  IRN DJG01118

  • CF30 Customer (1 Nov 2007 to 29 Jul 2010)
  • CF21 Investment Adviser (24 Aug 2006 to 31 Oct 2007)
• David Logan Melvin

  IRN DLM01040

  • CF30 Customer (1 Sep 2015 to 30 Sep 2019)
• David Matthew Bowen Lewis

  IRN DML01089

  • [FCA CF] Client dealing (25 Jan 2023 to 9 Sep 2023)
• David Thomas Grant Jones

  IRN DTJ01013

  • CF30 Customer (11 Dec 2018 to 20 Sep 2019)
• Derrick James Lee

  IRN DJL01221

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (15 Oct 2012 to 8 Dec 2019)
• Dion Di Miceli

  IRN DXD01364

  • CF30 Customer (1 Nov 2007 to 12 Feb 2016)
  • CF23 Corporate Finance Adviser (24 Jan 2007 to 31 Oct 2007)
• Donna Marie Snell

  IRN DMS01142

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Jan 2007 to 31 Oct 2007)

• 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.