FIRST GLOBAL (UK) LTD.

Date authorised
1 April 2013
Companies House
03644072
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    46 Station Road
    North Harrow
    Harrow
    HA2 7SE
    UNITED KINGDOM
    Phone
    +4402089044942
    Web
    https://www.firstglobalsec.com

  • Complaints Contact

    46 Station Road
    North Harrow
    Harrow
    HA2 7SE
    UNITED KINGDOM
    Phone
    +4402089044942

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

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

    Show 1 limitation
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

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

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the 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
    • · 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, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Trades With You Directly

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

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Unable to hold financial instruments for own account unless it meets the "matched principal exemption conditions" in the FSA's Glossary of defined expressions used in the FSA's Handbook.

  • Investment Setup

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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Samrat Deep Bhandari

    IRN SDB01076

    • CF10 Compliance Oversight (1 Dec 2001 to 20 Mar 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 20 Mar 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Mar 2003)
  • Santosh Shetty

    IRN SXS01416

    • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Satjit Singh Dhillon

    IRN SSD01019

    • CF8 Apportionment and Oversight (2 Sep 2002 to 28 Feb 2003)
    • CF3 Chief Executive (2 Sep 2002 to 28 Feb 2003)
  • Shankar Sharma

    IRN SXS01395

    • SMF3 Executive Director (9 Dec 2019 to 7 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Sunil Kumar Goel

    IRN SXG01209

    • CF21 Investment Adviser (1 Dec 2001 to 4 Dec 2002)
  • Suresh Guddappa Shetty

    IRN SXS01421

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2004)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.