CECP Advisors LLP

• Principal Place of Business

  1 St James's Market

  London

  SW1Y 4AH

  UNITED KINGDOM

  Phone

  +4402078941200

  Web

  http://www.carlyle.com

• Complaints Contact

  The Carlyle Group

  1 St. James's Market

  London

  Westminster

  SW1Y 4AH

  UNITED KINGDOM

  Phone

  +4402078941200

• Investment Advice (no pensions)

  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, 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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  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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.

• Russell Gary Fielder

  IRN RGF01060

  • [FCA CF] Client dealing (29 Mar 2021 to 1 Mar 2023)
  • CF4 Partner (6 Mar 2018 to 9 Dec 2019)
• Sam Block III

  IRN SXB02457

  • CF10 Compliance Oversight (18 Nov 2010 to 2 May 2011)
  • CF11 Money Laundering Reporting (18 Nov 2010 to 2 May 2011)
• Samuel Lukaitis

  IRN SXL00293

  • [FCA CF] Client dealing (29 Mar 2021 to 27 Feb 2026)
• Shaun Mercer

  IRN SXM02258

  • CF4 Partner (4 Mar 2011 to 9 Dec 2019)
  • CF30 Customer (18 Nov 2010 to 9 Dec 2019)
• Simon Andrew Robinson

  IRN SAR01085

  • CF4 Partner (14 Mar 2019 to 9 Dec 2019)
  • CF30 Customer (14 Mar 2019 to 9 Dec 2019)
• Simon Paul Dingemans

  IRN SPD01050

  • [FCA CF] Client dealing (29 Mar 2021 to 30 Nov 2024)
• Sophie Dodson

  IRN SXD01812

  • [FCA CF] Client dealing (since 2 Sep 2021)
• Susan Shelden

  IRN SXS01394

  • [FCA CF] Client dealing (since 30 May 2023)
• Tajinder Singh Sidhu

  IRN TSS01018

  • CF4 Partner (AR) (since 7 Nov 2022)
  • CF30 Customer (since 7 Nov 2022)
• Tamara Moon

  IRN TXM00630

  • [FCA CF] Client dealing (24 Feb 2025 to 6 Oct 2025)

• CIC Advisors LLP

  FRN 986581 · Appointed 3 Nov 2022 · Tied agent

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