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.

• Gareth Anfield Jones

  IRN GAJ01051

  • CF30 Customer (7 Nov 2008 to 31 Mar 2012)
• Gary Cunningham

  IRN GXC01189

  • [FCA CF] Proprietary trader (3 Dec 2020 to 9 Jul 2024)
  • [FCA CF] Client dealing (3 Dec 2020 to 9 Jul 2024)
• George Budd

  IRN GXB45693

  • [FCA CF] Client dealing (9 Feb 2022 to 9 Sep 2023)
• George Edward Fraser

  IRN GEF01008

  • CF30 Customer (20 Jul 2011 to 8 Dec 2019)
• George Henry Lawson

  IRN GXL00265

  • [FCA CF] Client dealing (7 Aug 2023 to 9 Sep 2023)
• George William Edward Rogers

  IRN GWR01020

  • [FCA CF] Significant management (9 Dec 2019 to 26 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Sep 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 26 Apr 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 26 Apr 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (14 Aug 2006 to 31 Oct 2007)
• Gerald Paul Aherne

  IRN GPA01022

  • CF2 Non Executive Director (24 Apr 2012 to 5 Nov 2018)
• Giles Hannibal William Balleny

  IRN GHB01027

  • [FCA CF] Material risk taker (30 Apr 2021 to 31 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2023)
  • CF30 Customer (1 Dec 2018 to 8 Dec 2019)
• Graeme John Scott Kemp

  IRN GJK01024

  • CF30 Customer (1 Nov 2007 to 25 Jan 2011)
  • CF21 Investment Adviser (15 Apr 2005 to 31 Oct 2007)
• Graham David Hall

  IRN GXH00271

  • [FCA CF] Client dealing (10 Jan 2022 to 9 Sep 2023)

• 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.