First Equity Limited

• Principal Place of Business

  First Equity Ltd

  Salisbury House

  London Wall

  London

  City Of London

  EC2M 5QQ

  UNITED KINGDOM

  Phone

  +4402073742212

  Web

  https://www.firstequitylimited.com

• Complaints Contact

  First Equity Ltd

  Salisbury House

  London Wall

  London

  City Of London

  EC2M 5QQ

  UNITED KINGDOM

  Phone

  +4402073742212

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  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, 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.

• 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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.

• 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, Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Investment Setup

  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, 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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.

• Chizuko Nara

  IRN CXN01050

  • CF21 Investment Adviser (19 Sep 2005 to 30 Sep 2006)
• Christian David Frenzel

  IRN CDF01018

  • CF30 Customer (11 Jul 2016 to 20 Apr 2017)
• Christopher Nicholas Graves Puddick

  IRN CNP01013

  • CF21 Investment Adviser (1 Dec 2001 to 22 Apr 2002)
• Daniel Mark Hershon

  IRN DMH01086

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Jul 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Jul 2006 to 31 Oct 2007)
• David Andrew Cockbill

  IRN DAC01119

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Jan 2018 to 8 Dec 2019)
• David George Mason

  IRN DGM01075

  • CF2 Non Executive Director (1 Aug 2013 to 31 Mar 2017)
• David Henry Cecil Floyd

  IRN DHF01010

  • CF30 Customer (1 Nov 2013 to 8 Dec 2019)
• David Kuldeep Khemchand Advani

  IRN DKA01005

  • CF30 Customer (1 Nov 2007 to 14 May 2008)
  • CF27 Investment Management (1 Nov 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
• David Ralph Walton Masters

  IRN DRW01062

  • CF2 Non Executive Director (12 Sep 2013 to 31 Mar 2017)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2009)
  • CF1 Director (AR) (26 Oct 2006 to 31 Jul 2009)
  • CF27 Investment Management (7 Jul 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (7 Jul 2006 to 31 Oct 2007)
  • CF2 Non Executive Director (AR) (1 Mar 2006 to 26 Oct 2006)
• Edmund Charles Frederick Shaw

  IRN ECS01012

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (19 Jan 2018 to 8 Dec 2019)

• Capital Partners Securities Ltd (no longer appointed)

  FRN 455111 · Appointed 25 Jul 2006 · Until 30 Oct 2008

• HCM Asset Management Ltd (no longer appointed)

  FRN 402512 · Appointed 19 Sep 2005 · Until 31 Jul 2009

• Vintage AM Limited (no longer appointed)

  FRN 439551 · Appointed 19 Sep 2005 · Until 5 Oct 2010

No changes recorded yet.