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.

• Richard Alistair Pursglove

  IRN RAP01141

  • [FCA CF] Manager of certification employee (15 Jun 2023 to 3 Mar 2025)
  • [FCA CF] Significant management (15 Jun 2023 to 3 Mar 2025)
• Richard Brill

  IRN RXB02350

  • 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] Material risk taker (since 12 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)
  • [FCA CF] Client dealing (since 2 Oct 2023)
• Richard David Pike

  IRN RDP01039

  • [FCA CF] Significant management (27 Sep 2022 to 31 Jul 2023)
  • [FCA CF] Manager of certification employee (27 Sep 2022 to 31 Jul 2023)
• Richard Peter Philbin

  IRN RPP01023

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 27 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 17 Mar 2022)
  • [FCA CF] Manager of certification employee (since 17 Mar 2022)
  • [FCA CF] Client dealing (since 17 Mar 2022)
• Richard William Scott

  IRN RWS01050

  • CF1 Director (19 Nov 2010 to 4 Oct 2013)
  • CF30 Customer (1 Dec 2008 to 8 Dec 2019)
• Robert James Robson

  IRN RJR01074

  • 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] Client dealing (since 12 May 2021)
  • [FCA CF] Functions requiring qualifications (since 12 May 2021)
• Robert Malcolm Fullerton

  IRN RMF01069

  • [FCA CF] Client dealing (since 9 Mar 2023)
• Ross Bennewith

  IRN RXB01153

  • [FCA CF] Significant management (since 13 Jan 2026)
• Samantha Chanell

  IRN SXC03136

  • [FCA CF] Material risk taker (since 20 Oct 2025)
  • [FCA CF] Significant management (since 20 Oct 2025)
• Samuel Spilsbury

  IRN SXS01485

  • 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] Functions requiring qualifications (since 15 Aug 2024)
  • [FCA CF] Client dealing (since 12 Jun 2023)

No changes recorded yet.