FNZ Securities Limited

• Principal Place of Business

  10th Floor

  135 Bishopsgate

  London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +4403033333330

  Web

  https://www.fnz.com

• Complaints Contact

  10th Floor

  135 Bishopsgate

  London

  City Of London

  EC2M 3TP

  UNITED KINGDOM

  Phone

  +442032061290

• 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, 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, 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, Commodity Future, Commodity option and option on commodity future, 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, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Share, Unit

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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, 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, 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.

• James Robert Hamilton

  IRN JRH01245

  • [FCA CF] Client dealing (since 21 Jul 2022)
• John Tomlins

  IRN JXT01148

  • SMF9 Chair of the Governing Body (since 10 May 2021)
• Jonathan James Sokhanvari

  IRN JJS01116

  • SMF3 Executive Director (9 Dec 2019 to 10 May 2022)
  • SMF1 Chief Executive (9 Dec 2019 to 13 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2022)
  • CF11 Money Laundering Reporting (1 Aug 2016 to 8 Dec 2019)
  • CF3 Chief Executive (1 Aug 2016 to 8 Dec 2019)
  • CF1 Director (1 Aug 2016 to 8 Dec 2019)
  • CF10a CASS Oversight function (1 Aug 2016 to 8 Dec 2019)
• Katrina Sartorius

  IRN KXS81749

  • SMF3 Executive Director (since 10 May 2021)
• Lee John Allen

  IRN LJA01022

  • [FCA CF] Material risk taker (since 21 Jul 2022)
  • [FCA CF] Manager of certification employee (since 21 Jul 2022)
  • [FCA CF] Client dealing (since 21 Jul 2022)
• Maria Shields

  IRN MXS01392

  • [FCA CF] Client dealing (since 21 Jul 2022)
• Peter Hiom

  IRN PXH00830

  • [FCA CF] Material risk taker (since 16 Jan 2026)
• Riane Magdalena Stoltz

  IRN RXS00292

  • [FCA CF] Manager of certification employee (25 Jan 2022 to 17 Aug 2023)
  • [FCA CF] Material risk taker (25 Jan 2022 to 17 Aug 2023)
• Richard Michael Donegan

  IRN RMD01051

  • [FCA CF] CASS oversight function (24 Dec 2021 to 2 Oct 2023)
• Scott James Webster

  IRN SXW00739

  • [FCA CF] Material risk taker (13 Feb 2023 to 1 Sep 2025)
  • [FCA CF] Manager of certification employee (13 Feb 2023 to 1 Sep 2025)

No changes recorded yet.