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

  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.

• 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.

• Lewis Bevan Hook

  IRN LXH12632

  • [FCA CF] Client dealing (since 10 Oct 2022)
• Michael Wieczorek

  IRN MXW01920

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jul 2022)
  • CF30 Customer (4 Oct 2017 to 8 Dec 2019)
• Mihika Sohani

  IRN MXS29985

  • [FCA CF] Client dealing (6 Oct 2020 to 25 Aug 2021)
• Nicholas Proctor

  IRN NXP06642

  • CF30 Customer (27 Sep 2018 to 10 Aug 2019)
• Nicole Schoenauer

  IRN NSS01077

  • [FCA CF] Client dealing (24 Jun 2020 to 7 Sep 2025)
• Nisha Chauhan

  IRN NXC00159

  • [FCA CF] Client dealing (since 14 Jun 2022)
• Reeve Ganatra

  IRN RXG00259

  • [FCA CF] Client dealing (25 Aug 2022 to 27 Jun 2025)
• SARAH GRACE COLE

  IRN SJD01295

  • CF30 Customer (6 Jul 2017 to 19 Feb 2018)
• Samantha Page

  IRN SXP21362

  • [FCA CF] Client dealing (since 20 Jun 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Dec 2019)
  • SMF16 Compliance Oversight (since 16 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Sophie Jervis

  IRN SEJ01047

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Mar 2025)
  • CF30 Customer (20 Sep 2016 to 8 Dec 2019)

• ELM CAPITAL USA LIMITED

  FRN 538066 · Appointed 21 Dec 2010

No changes recorded yet.