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.

• Andrew Lee McBean

  IRN ALM01130

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (10 Feb 2017 to 8 Dec 2019)
• Angelica Batallanos Salazar

  IRN AXB03364

  • [FCA CF] Client dealing (4 Apr 2022 to 29 Nov 2022)
• Anthony Roger Victor Medina

  IRN ARM01109

  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2020)
  • CF30 Customer (29 Nov 2019 to 8 Dec 2019)
• Antonio Agresta

  IRN AXA00287

  • [FCA CF] Client dealing (since 30 Nov 2020)
• Antonio Graziano Carangelo

  IRN AGC01145

  • CF30 Customer (26 May 2014 to 6 Nov 2017)
• Antonio Salgueiro

  IRN AXS01130

  • [FCA CF] Material risk taker (16 May 2022 to 31 Oct 2022)
• Ari William Boublil

  IRN AXB02842

  • CF30 Customer (11 Sep 2014 to 29 May 2015)
• Arnold Peter Salm

  IRN APS01175

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2021)
  • CF30 Customer (9 Jan 2017 to 6 Sep 2022)
  • CF3 Chief Executive (AR) (9 Jan 2017 to 6 Sep 2022)
• Arthur Clarkson

  IRN AXC00430

  • [FCA CF] Client dealing (since 1 Apr 2020)
• Arunan Sriraveenthran

  IRN AXS03534

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Feb 2014 to 6 Sep 2022)

• Phi Capital Ltd (no longer appointed)

  FRN 913030 · Appointed 6 Sep 2019 · Until 15 Dec 2021 · Tied agent

• EMVirya Ltd (no longer appointed)

  FRN 802421 · Appointed 21 Feb 2018 · Until 18 May 2018

• Union Global Capital Limited (no longer appointed)

  FRN 795911 · Appointed 6 Dec 2017 · Until 6 Mar 2018

• SVP Agency Execution Service Ltd (no longer appointed)

  FRN 757565 · Appointed 1 Sep 2016 · Until 15 Dec 2021 · Tied agent

• Coral Global Securities Limited (no longer appointed)

  FRN 625405 · Appointed 8 Feb 2016 · Until 15 Mar 2018

• GFG Capital Limited (no longer appointed)

  FRN 718306 · Appointed 25 Sep 2015 · Until 29 Aug 2016

• Marpessa Securities Limited (no longer appointed)

  FRN 716239 · Appointed 9 Sep 2015 · Until 1 Dec 2015

• Armira Capital Ltd (no longer appointed)

  FRN 707802 · Appointed 23 Jun 2015 · Until 2 Feb 2016

• Menara Capital Ltd (no longer appointed)

  FRN 698282 · Appointed 22 May 2015 · Until 7 Sep 2022 · Tied agent

• Diagram Capital Partners Ltd (no longer appointed)

  FRN 695074 · Appointed 13 May 2015 · Until 5 Nov 2015 · Tied agent

No changes recorded yet.