First Sentinel Corporate Finance Limited

• Principal Place of Business

  21 Arlington Street

  London

  Westminster

  SW1A 1RD

  UNITED KINGDOM

  Phone

  +442038555551

  Web

  https://first-sentinel.com

• Complaints Contact

  21 Arlington Street

  London

  Westminster

  SW1A 1RD

  UNITED KINGDOM

  Phone

  +442038555551

• Investment Advice (no pensions)

  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, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · The firm shall not give any personal recommendation(s) in respect of any derivative instrument(s) to any retail client.
  • · 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 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, 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, 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, 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, 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, Spread Bet, 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.

• Stockbroking

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

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  • · The Firm is limited to the use of its dealing as agent permission only in respect of corporate finance business.
  • · 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, 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, 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, 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.

• Aimee Freeding

  IRN AXF02099

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (3 Oct 2017 to 8 Dec 2019)
• Barry John Cridland

  IRN BJC01092

  • SMF16 Compliance Oversight (since 13 Oct 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Oct 2023)
• Behnaam Barratt

  IRN BXB16429

  • 17. Administrative functions in relation to managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • Appointed representative dealing with clients for which they require qualification (since 1 Sep 2022)
  • [FCA CF] Client dealing (since 1 Sep 2022)
  • CF30 Customer (12 May 2023 to 22 Jul 2025)
• Brian Stockbridge

  IRN BXS01422

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 8 Jun 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jun 2020)
  • CF10 Compliance Oversight (1 Mar 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Mar 2017 to 8 Dec 2019)
  • CF1 Director (1 Mar 2017 to 8 Dec 2019)
  • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
  • CF3 Chief Executive (1 Mar 2017 to 8 Dec 2019)
• Bruce Ian Marsh

  IRN BIM00002

  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • Appointed representative dealing with clients for which they require qualification (since 1 Nov 2023)
• Damion Aiton Carruel

  IRN DAC01124

  • [FCA CF] Client dealing (4 Mar 2024 to 13 Dec 2024)
• Frederick John French

  IRN FJF01021

  • SMF3 Executive Director (9 Dec 2019 to 29 Jan 2020)
  • CF1 Director (24 Oct 2017 to 8 Dec 2019)
• Gabrielle Cordeiro

  IRN GXC00559

  • [FCA CF] Significant management (since 26 Jun 2024)
• JOHN BOYD MCCOWAN Peat

  IRN JBP01020

  • [FCA CF] Client dealing (since 10 Jun 2024)
• Jack Ballard

  IRN JXB01388

  • CF30 Customer (17 Jun 2025 to 22 Jul 2025)

• First Sentinel Wealth Limited (no longer appointed)

  FRN 972923 · Appointed 27 Mar 2022 · Until 22 Jul 2025

• CONNECT X CAPITAL MARKETS (UK) LTD (no longer appointed)

  FRN 830441 · Appointed 10 Jan 2019 · Until 27 Mar 2019

• First Sentinel Advisory Limited (no longer appointed)

  FRN 786026 · Appointed 4 Aug 2017 · Until 29 Jan 2020

• First Sentinel Investments Limited (no longer appointed)

  FRN 775202 · Appointed 29 Mar 2017 · Until 29 Jan 2020

No changes recorded yet.