Evelyn Partners Investment Services Limited

• Principal Place of Business

  45 Gresham Street

  London

  EC2V 7BG

  UNITED KINGDOM

  Phone

  +442071314000

  Web

  https://evelyn.com

• Complaints Contact

  Evelyn Partners

  Maxis 2

  Western Road

  Bracknell

  Berkshire

  RG12 1RT

  UNITED KINGDOM

  Phone

  +442071314000

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · 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.
  • · Limited to independent intermediary activities and in carrying on such activities to the specified investments ”share" (only if in connection with an investment trust savings scheme), "unit", "stakeholder pension scheme", right to or interest in investments - security", (when the latter is associated with these specified investments), "life policy", "funeral plan contract" and "right to or interest in investments - contractually based investment", (when the latter is associated with these specified investments).
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to regulated collective investment scheme as marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "retail client", "professional client" and "eligible counterparty".

• 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, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Consumer Loans

• Loan Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations 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.
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and, in carrying on such activities to the specified investments listed other than "stakeholder pension scheme", and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Karen Scott

  IRN KXS00851

  • 16. Safeguarding and administering investments or holding client money
  • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 19 Jun 2025)
• Katarina Alderson

  IRN KXA33577

  • SMF18 Other Overall Responsibility (since 24 Jun 2025)
  • [FCA CF] Manager of certification employee (14 Jul 2022 to 24 Jun 2025)
  • [FCA CF] Significant management (14 Mar 2022 to 24 Jun 2025)
• Katherine Matthews

  IRN KXM00609

  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 14 Jul 2023)
• Kathryn Mary Edwards

  IRN KME01012

  • CF20 Significant Mgt (Settlements) (17 Oct 2005 to 29 Jan 2007)
• Katy Barnard

  IRN KVB01006

  • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
  • CF27 Investment Management (17 Mar 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 Sep 2002)
• Keith Jackman

  IRN KXJ01089

  • CF15 Internal Audit (1 Dec 2001 to 30 Sep 2002)
• Keith Jones

  IRN KXJ01057

  • Director of firm who is not a certification employee or a SMF manager (2 May 2025 to 5 Sep 2025)
  • [FCA CF] Material risk taker (2 May 2025 to 5 Sep 2025)
  • SMF14 Senior Independent Director (19 Jan 2017 to 1 Sep 2020)
  • SMF12 Chair of the Remuneration Committee (7 Mar 2016 to 1 May 2025)
  • CF2 Non Executive Director (21 Jul 2015 to 6 Mar 2016)
• Kenneth Allen

  IRN KWA01013

  • CF30 Customer (16 Nov 2009 to 30 Sep 2013)
• Kevin Stopps

  IRN KPS01021

  • Director of firm who is not a certification employee or a SMF manager (11 May 2021 to 1 Oct 2021)
  • SMF3 Executive Director (7 Mar 2016 to 11 May 2021)
  • CF1 Director (5 Sep 2013 to 6 Mar 2016)
• Kirsty Puplett

  IRN KXP00323

  • [FCA CF] Significant management (2 Feb 2023 to 31 Mar 2025)

• Smith & Williamson Holdings Limited (no longer appointed)

  FRN 743276 · Appointed 6 Apr 2016 · Until 19 Nov 2020

No changes recorded yet.