Forte Securities Limited

• Principal Place of Business

  4th Floor

  36 Golden Square

  London

  W1F 9EE

  UNITED KINGDOM

  Phone

  +442070994950

  Web

  http://www.fortesecurities.com

• Complaints Contact

  4th Floor

  36 Golden Square

  London

  W1F 9EE

  UNITED KINGDOM

  Phone

  +442070994950

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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), 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.

• 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, 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), 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, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, 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), 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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), 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

• Investment Setup

  For Eligible Counterparty, Professional, 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), 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.

• Manages Your Portfolio

  For Professional, 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), 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.

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.

• Holds Your Assets

  For Eligible Counterparty, Professional, 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), 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.

• Lucas Omar Ajana

  IRN LOA00010

  • CF30 Customer (11 Mar 2016 to 6 May 2016)
• Makram Fares

  IRN MXF01165

  • CF30 Customer (29 Nov 2012 to 28 Nov 2013)
• Marc Isaac Charles Levy-Walhain

  IRN MIL01014

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (9 Jul 2014 to 8 Dec 2019)
• Marc Robert Spitzer

  IRN MRS01252

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Aug 2022)
  • CF30 Customer (4 Dec 2014 to 8 Dec 2019)
• Marcelo Calvi

  IRN MXC00660

  • [FCA CF] Client dealing (since 10 Jan 2022)
• Marco Bach

  IRN MXB02130

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10a CASS Oversight function (3 Mar 2014 to 8 Dec 2019)
  • CF30 Customer (1 May 2013 to 8 Dec 2019)
  • CF1 Director (1 May 2013 to 8 Dec 2019)
  • CF28 Systems and controls (1 May 2013 to 8 Dec 2019)
• Margaux Lherron-Desnos

  IRN MXL02066

  • CF30 Customer (17 Dec 2014 to 29 May 2015)
• Mariano Grosman

  IRN MXG01886

  • CF30 Customer (20 Mar 2014 to 12 Feb 2015)
• Mark Harris

  IRN MXH01898

  • [FCA CF] Client dealing (12 Nov 2021 to 22 Mar 2022)
• Marsha Kutkevitch

  IRN MXK01273

  • CF30 Customer (24 Apr 2018 to 18 May 2018)
  • CF1 Director (AR) (24 Apr 2018 to 18 May 2018)

• Frontera Capital Limited (no longer appointed)

  FRN 616590 · Appointed 4 Mar 2014 · Until 21 Jan 2015

• Prism Financial Products LLP (no longer appointed)

  FRN 607249 · Appointed 12 Sep 2013 · Until 24 Jan 2014 · Tied agent

• Gulf Central Agency Asset Management Ltd (no longer appointed)

  FRN 585988 · Appointed 4 Apr 2013 · Until 11 Sep 2013

• Molton Street Capital LLP (no longer appointed)

  FRN 585695 · Appointed 2 Aug 2012 · Until 12 Feb 2013

• MerX Securities LLP (no longer appointed)

  FRN 585318 · Appointed 26 Jul 2012 · Until 5 Apr 2013

• DNA Securities LLP (no longer appointed)

  FRN 584083 · Appointed 29 Jun 2012 · Until 13 Feb 2013

• TIDE CM LLP (no longer appointed)

  FRN 576869 · Appointed 8 Mar 2012 · Until 15 Dec 2021

• Bolt Markets Limited (no longer appointed)

  FRN 556242 · Appointed 15 Jul 2011 · Until 21 Feb 2012

No changes recorded yet.