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.

• Gordon Scott

  IRN GXS00397

  • [FCA CF] Client dealing (since 15 Dec 2021)
• Gregor Bohm

  IRN GXB01708

  • [FCA CF] Client dealing (since 24 Feb 2026)
  • SMF27 Partner (9 Dec 2019 to 27 Feb 2026)
  • CF4 Partner (4 Mar 2011 to 8 Dec 2019)
  • CF30 Customer (18 Nov 2010 to 8 Dec 2019)
• Gregory Petros

  IRN GXP00249

  • [FCA CF] Client dealing (since 26 Nov 2025)
• Guido Funes Nova

  IRN GXF01365

  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF4 Partner (11 Nov 2013 to 9 Dec 2019)
  • CF30 Customer (11 Nov 2013 to 9 Dec 2019)
• Guillaume Lefort

  IRN GXL00332

  • [FCA CF] Client dealing (since 24 Feb 2025)
• Heather Mitchell

  IRN HXM01262

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (13 Apr 2012 to 8 Dec 2019)
• Ian Barrie Jackson

  IRN IBJ00006

  • CF30 Customer (18 Nov 2010 to 1 Mar 2011)
• James Gutman

  IRN JRG01107

  • [FCA CF] Client dealing (23 Oct 2024 to 31 Mar 2026)
• James Robert Maguire Jr

  IRN JRM01107

  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF30 Customer (28 Apr 2018 to 9 Dec 2019)
  • CF4 Partner (3 Mar 2014 to 9 Dec 2019)
• James Wilson

  IRN JXW29598

  • [FCA CF] Client dealing (since 22 Jan 2026)

• CIC Advisors LLP

  FRN 986581 · Appointed 3 Nov 2022 · Tied agent

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