HERITAGE CAPITAL MANAGEMENT LIMITED

• Principal Place of Business

  Broadway House

  Tothill Street

  London

  SW1H 9NQ

  UNITED KINGDOM

  Phone

  +4402077992110

  Web

  https://www.heritage-capital.co.uk

• Complaints Contact

  Broadway House

  Tothill Street

  London

  SW1H 9NQ

  UNITED KINGDOM

  Phone

  +4402077992110

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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), 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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), 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Graeme David Olsen

  IRN GDO00001

  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Jemma Spencer

  IRN JXG02046

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (25 May 2017 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
• John Nicholas Tappenden

  IRN JNT01013

  • CF30 Customer (1 Apr 2016 to 12 Jul 2017)
• Leonard John Gayler

  IRN LJG01035

  • CF30 Customer (1 Apr 2016 to 12 Jul 2017)
• Mark Roy Glew

  IRN MRG01113

  • CF30 Customer (1 Nov 2007 to 31 Aug 2008)
  • CF1 Director (13 Mar 2006 to 31 Aug 2008)
  • CF26 Customer Trading (22 Nov 2005 to 31 Oct 2007)
  • CF27 Investment Management (22 Nov 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (22 Nov 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (19 Jan 2005 to 22 Nov 2005)
• Rayman Man Kwong Wong

  IRN RMW00042

  • 17. Administrative functions in relation to managing investments
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Roy William Glew

  IRN RWG00001

  • SMF3 Executive Director (9 Dec 2019 to 25 May 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Zoe Rose Olsen

  IRN ZXO00015

  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Significant management (since 18 Mar 2026)
  • [FCA CF] Client dealing (since 18 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 18 Mar 2026)

No changes recorded yet.