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.

• Sarah Jane Spencer Soar

  IRN SJS01154

  • SMF9 Chair of the Governing Body (27 Aug 2021 to 18 Dec 2024)
  • SMF3 Executive Director (23 Dec 2019 to 18 Dec 2024)
  • SMF1 Chief Executive (23 Dec 2019 to 18 Dec 2024)
• Scott William Wallis

  IRN SXW00492

  • 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 17 Apr 2023)
  • [FCA CF] Client dealing (since 17 Apr 2023)
• Simon Nicholas Reynolds

  IRN SNR01015

  • [FCA CF] Manager of certification employee (6 Jun 2023 to 22 Feb 2024)
  • [FCA CF] Client dealing (6 Jun 2023 to 22 Feb 2024)
• Simon Timothy Mark Atherton

  IRN STA01007

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
  • CF30 Customer (24 Jul 2017 to 8 Dec 2019)
• Stephen Mark Taylor

  IRN SMT01050

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Apr 2023)
  • CF30 Customer (6 Nov 2015 to 8 Dec 2019)
• Thomas Salt

  IRN TXS04167

  • [FCA CF] Significant management (since 20 Oct 2025)
  • [FCA CF] Material risk taker (since 20 Oct 2025)
• Thomas Sandison Powell-Tuck

  IRN TXP01492

  • 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] Manager of certification employee (since 3 Jul 2023)
  • [FCA CF] Client dealing (since 30 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 30 Aug 2022)
• Thomas William James Leahy

  IRN TWL01008

  • CF30 Customer (24 Aug 2015 to 22 Jul 2016)
• Timothy Roger Howe

  IRN TRH01019

  • CF2 Non Executive Director (11 Mar 2010 to 21 Mar 2014)
• Tin Zar Min Min

  IRN TXM00264

  • 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 11 Apr 2023)
  • [FCA CF] Client dealing (since 11 Apr 2023)

No changes recorded yet.