ELM CAPITAL ASSOCIATES LIMITED

• Principal Place of Business

  Southwest House

  11A Regent Street

  London

  SW1Y 4LR

  UNITED KINGDOM

  Phone

  +4402079018940

  Web

  https://www.elmcapital.com

• Complaints Contact

  Southwest House

  11A Regent Street

  London

  SW1Y 4LR

  UNITED KINGDOM

  Phone

  +4402079018940

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, 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, Certificates representing certain security, Debenture, Government and public security, 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, Debenture, Government and public security, 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.

• Etienne Deshormes

  IRN EXD01166

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF13 Finance (8 Oct 2004 to 31 Oct 2007)
  • CF1 Director (8 Oct 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Oct 2004 to 4 Oct 2019)
  • CF10 Compliance Oversight (8 Oct 2004 to 4 Oct 2019)
  • CF21 Investment Adviser (8 Oct 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (8 Oct 2004 to 31 Mar 2009)
  • CF3 Chief Executive (8 Oct 2004 to 8 Dec 2019)
• Evanna Codona

  IRN EXC06789

  • CF30 Customer (2 Oct 2018 to 14 Nov 2019)
• Fady Michel Abouchalache

  IRN FMA01026

  • CF2 Non Executive Director (16 Feb 2006 to 2 Mar 2017)
  • CF1 Director (8 Oct 2004 to 16 Feb 2006)
• Grace Moses

  IRN GXM00469

  • [FCA CF] Client dealing (since 28 Jun 2022)
• Hamza Khaldi

  IRN HXK00124

  • [FCA CF] Client dealing (since 29 Sep 2021)
• Helene Denise Schutrumpf

  IRN HDS01027

  • CF30 Customer (16 Feb 2012 to 5 Apr 2015)
• Ivan Byzov

  IRN IXB01260

  • [FCA CF] Client dealing (since 7 Feb 2024)
• Jeffrey James Griffiths

  IRN JJG01081

  • CF30 Customer (6 Mar 2009 to 31 May 2011)
• Juan Carlos Viveros Alcocer

  IRN JXV00231

  • [FCA CF] Client dealing (since 17 Mar 2025)
• Julia Abou Nassif

  IRN JXA01652

  • CF30 Customer (19 Oct 2010 to 4 Apr 2012)

• ELM CAPITAL USA LIMITED

  FRN 538066 · Appointed 21 Dec 2010

No changes recorded yet.