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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Peter John Stone

  IRN PJS01187

  • CF2 Non Executive Director (1 Dec 2001 to 25 Mar 2003)
• Peter Luis Fernandes

  IRN PLF01012

  • [FCA CF] Significant management (4 Nov 2020 to 9 Dec 2021)
  • [FCA CF] Material risk taker (4 Nov 2020 to 9 Dec 2021)
  • SMF3 Executive Director (7 Mar 2016 to 1 Sep 2020)
  • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
  • CF1 Director (19 Sep 2006 to 6 Mar 2016)
  • CF27 Investment Management (14 Apr 2005 to 31 Oct 2007)
• Peter T Kerr

  IRN PTK01006

  • CF30 Customer (16 Nov 2009 to 30 Sep 2013)
• Peter Thomas Mitchell

  IRN PTM01027

  • SMF18 Other Overall Responsibility (7 Mar 2016 to 1 Sep 2021)
  • CF29 Significant management (18 Nov 2015 to 6 Mar 2016)
• Peter Thomas Reginald Rainey

  IRN PTR01018

  • CF30 Customer (16 Nov 2009 to 30 Sep 2013)
• Phil Fabian

  IRN PXF00185

  • [FCA CF] Significant management (since 22 Jul 2022)
• Philip Best

  IRN PWB01061

  • SMF16 Compliance Oversight (22 Mar 2019 to 1 Dec 2023)
  • SMF4 Chief Risk (22 Mar 2019 to 1 Dec 2023)
• Philip Edward Ruxton

  IRN PER01024

  • CF27 Investment Management (1 Dec 2001 to 31 Aug 2007)
• Philip Jeffery Grundy

  IRN PJG01265

  • [FCA CF] Significant management (since 24 Sep 2020)
• Philip Nevill Lawlor

  IRN PNL01007

  • CF30 Customer (22 Feb 2010 to 9 Dec 2011)

• Smith & Williamson Holdings Limited (no longer appointed)

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

No changes recorded yet.