HAWKSMOOR INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  Hawksmoor Investment Management Ltd

  Sterling Court

  17 Dix's Field

  Exeter

  Devon

  EX1 1QA

  UNITED KINGDOM

  Phone

  +441392410180

  Web

  https://www.hawksmoorim.co.uk

• Complaints Contact

  Hawksmoor Investment Management Ltd

  Sterling Court

  17 Dix's Field

  Exeter

  Devon

  EX1 1QA

  UNITED KINGDOM

  Phone

  +441392410180

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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.

• 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, 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), 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, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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.

• Adam Martyn-Smith

  IRN ADM01090

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 11 Apr 2023)
  • [FCA CF] Client dealing (since 23 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 23 Jan 2023)
• Adele Louise Relihan

  IRN ALM01047

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 3 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 3 Nov 2022)
• Alexander Ranald Boyle

  IRN ARB01126

  • CF30 Customer (8 Apr 2009 to 9 Mar 2016)
• Alexander Robert Knott

  IRN AXK32974

  • [FCA CF] Material risk taker (since 20 Oct 2025)
  • [FCA CF] Significant management (since 20 Oct 2025)
• Andrew Duncan Little

  IRN ADL01070

  • [FCA CF] Manager of certification employee (1 May 2020 to 20 Oct 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Oct 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Oct 2025)
  • CF30 Customer (13 Aug 2018 to 8 Dec 2019)
• Andrew Paul Foster

  IRN APF01024

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
  • CF1 Director (7 Jan 2016 to 29 Jul 2016)
  • CF30 Customer (9 Nov 2015 to 8 Dec 2019)
• Andrew Westenberger

  IRN AXW01618

  • SMF1 Chief Executive (since 30 Apr 2025)
  • SMF3 Executive Director (since 30 Apr 2025)
• Anthony Robert Deacon

  IRN ARD01087

  • SMF9 Chair of the Governing Body (18 Nov 2020 to 1 Mar 2021)
  • CF2 Non Executive Director (16 Jul 2015 to 8 Dec 2019)
  • CF1 Director (27 Nov 2007 to 1 Aug 2008)
  • CF11 Money Laundering Reporting (27 Nov 2007 to 1 Aug 2008)
  • CF30 Customer (27 Nov 2007 to 1 Aug 2008)
• BRIDGET GASKELL

  IRN BXG00093

  • [FCA CF] Client dealing (17 Dec 2020 to 20 May 2022)
• Ben Luck

  IRN BXL00097

  • [FCA CF] Client dealing (9 Dec 2020 to 25 Dec 2022)

No changes recorded yet.