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.

• Simon James Hodson

  IRN SJH01605

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (2 May 2017 to 8 Dec 2019)
• Stephen James Blackford

  IRN SJB01253

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2022)
  • [FCA CF] Client dealing (since 1 Apr 2022)
• Steven Clive Tranter

  IRN SCT01038

  • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2002)
• Steven Edward Shelley

  IRN SES01070

  • CF30 Customer (26 Apr 2019 to 8 Dec 2019)
• Steven Henry Baird

  IRN SHB01021

  • CF30 Customer (24 May 2018 to 8 Dec 2019)
• Sujit Shome

  IRN SXS01537

  • CF21 Investment Adviser (1 Dec 2001 to 6 Mar 2002)
• Terrasa Elizabeth Dower

  IRN TED01013

  • CF30 Customer (1 Nov 2007 to 31 Jan 2013)
  • CF21 Investment Adviser (3 Jan 2007 to 31 Oct 2007)
• Theodoros Antonakis Georgiou

  IRN TAG01053

  • CF30 Customer (19 Aug 2010 to 17 Feb 2011)
• Timothy Maurice Patrick Healy

  IRN TMH00040

  • CF27 Investment Management (20 Sep 2005 to 10 Feb 2006)
  • CF21 Investment Adviser (20 Sep 2005 to 10 Feb 2006)
• William George Deth

  IRN WGD01007

  • CF21 Investment Adviser (26 Mar 2002 to 23 Sep 2005)

• 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.