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

  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.

• Daniel Ellis

  IRN DLE01023

  • [FCA CF] Material risk taker (since 15 Jul 2025)
  • [FCA CF] Manager of certification employee (since 15 Jul 2025)
  • [FCA CF] Significant management (since 15 Jul 2025)
  • SMF3 Executive Director (31 Jan 2025 to 21 Feb 2025)
• Daniel Robert Lockyer

  IRN DRL01042

  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (17 Jan 2014 to 4 Dec 2017)
  • CF30 Customer (1 Jun 2009 to 8 Dec 2019)
• David Charles Ambrose

  IRN DCA01017

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2023)
  • CF30 Customer (25 Apr 2016 to 8 Dec 2019)
• David Charles King

  IRN DCK01008

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2021)
  • CF30 Customer (22 Aug 2017 to 8 Dec 2019)
• David Glyn Evans

  IRN DGE01020

  • SMF3 Executive Director (9 Dec 2019 to 14 Jul 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Apr 2023)
  • CF1 Director (7 Jan 2016 to 8 Dec 2019)
  • CF30 Customer (28 Oct 2015 to 8 Dec 2019)
• David Lawrence Kempton

  IRN DXK01364

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 1 Mar 2021)
  • CF2 Non Executive Director (13 Apr 2015 to 8 Dec 2019)
• Edward John Lowe

  IRN EJL01058

  • CF30 Customer (17 Dec 2010 to 5 Oct 2012)
• Edward John Renwick

  IRN EXR00253

  • SMF3 Executive Director (since 14 May 2025)
• Edward Smith

  IRN EXS00238

  • 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] Functions requiring qualifications (since 29 Aug 2023)
  • [FCA CF] Client dealing (since 6 Jun 2023)
• Finbarr Joseph O'Mahony

  IRN FJO01006

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 May 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 May 2022)
  • CF30 Customer (11 Jul 2016 to 8 Dec 2019)

No changes recorded yet.