Evelyn Partners Securities

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, 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.

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, 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, 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), Share, Stakeholder pension scheme, 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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), Rolling spot forex contract, 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.

• Debt Negotiation

• Debt Plan Admin

• Debt Collection

• Debt Advice

• Consumer Loans

• Loan Servicing

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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, 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, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Peter Richard Botham

  IRN PRB01083

  • CF27 Investment Management (1 Dec 2001 to 21 Oct 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 21 Oct 2005)
• Peter Robert Green

  IRN PRG01051

  • CF1 Director (1 Dec 2001 to 14 Aug 2002)
• Peter Roper

  IRN PXR01284

  • CF30 Customer (4 Aug 2011 to 21 Sep 2016)
• Peter Stanton Clark

  IRN PSC01037

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (16 Dec 2016 to 8 Dec 2019)
• Phil Fabian

  IRN PXF00185

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

  IRN PWB01061

  • SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
  • SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
• Philip Charles Okell

  IRN PCO01007

  • CF27 Investment Management (1 Dec 2001 to 31 May 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 May 2006)
  • CF1 Director (1 Dec 2001 to 31 May 2006)
• Philip Jeffery Grundy

  IRN PJG01265

  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF28 Systems and controls (26 Nov 2014 to 19 Oct 2017)
• Philip Jonathan Bruce Marriott

  IRN PJM01188

  • CF30 Customer (31 Mar 2008 to 31 Oct 2013)
• Philip Sebastian Muelder

  IRN PSM01097

  • [FCA CF] Material risk taker (1 Oct 2024 to 12 Feb 2025)
  • Director of firm who is not a certification employee or a SMF manager (1 Sep 2020 to 12 Feb 2025)
  • CF2 Non Executive Director (11 Aug 2014 to 8 Dec 2019)

• Cardales UK Ltd (no longer appointed)

  FRN 421964 · Appointed 14 Jan 2005 · Until 30 Nov 2011

No changes recorded yet.