Heronsgate Capital LLP

• Principal Place of Business

  Heronsgate Capital LLP

  181 Queen Victoria Street

  London

  City Of London

  EC4V 4EG

  UNITED KINGDOM

  Phone

  +442070990130

  Web

  https://www.heronsgatecapital.com

• Complaints Contact

  Heronsgate Capital LLP

  181 Queen Victoria Street

  London

  City Of London

  EC4V 4EG

  UNITED KINGDOM

  Phone

  +442070990130

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

• . Riverfront HGS Limited

  IRN XXD77216

  • SMF27 Partner (since 1 Apr 2021)
• Anthony William Wellby

  IRN TWW00006

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 1 Apr 2021)
  • SMF27 Partner (since 1 Apr 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
  • SMF16 Compliance Oversight (since 1 Apr 2021)
  • Responsible for Insurance Distribution (1 Apr 2021 to 1 Jun 2023)
  • [FCA CF] Material risk taker (1 Apr 2021 to 8 Jun 2023)
  • [PRA CF] Managing a material risk taker (1 Apr 2021 to 2 Apr 2021)
• Ashley Pontiggia

  IRN AJP01430

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 3 Apr 2021)
  • [FCA CF] Client dealing (since 3 Apr 2021)
  • [FCA CF] Material risk taker (3 Apr 2021 to 8 Jun 2023)
• Christopher Vincent Sexton

  IRN CVS01006

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2021)
  • [FCA CF] Client dealing (since 6 Apr 2021)
  • SMF27 Partner (since 1 Apr 2021)
  • [FCA CF] Material risk taker (6 Apr 2021 to 8 Jun 2023)
• Colin Gavin Gellatly

  IRN CXG00202

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 2 May 2023)
  • [FCA CF] Client dealing (since 2 May 2023)
• Daniel James Mackenzie

  IRN DJM01683

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Apr 2021)
  • [FCA CF] Client dealing (since 2 Apr 2021)
  • [FCA CF] Material risk taker (2 Apr 2021 to 8 Jun 2023)
• Elizabeth Sarah Evans

  IRN ESE01004

  • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2021)
• Gareth Miles Parsons

  IRN GMP01068

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF27 Partner (since 5 Jul 2021)
  • [FCA CF] Client dealing (since 5 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 5 Apr 2021)
  • Responsible for Insurance Distribution (5 Jul 2021 to 1 Jun 2023)
  • [FCA CF] Material risk taker (5 Apr 2021 to 8 Jun 2023)
• Jamie Michael Rich

  IRN JXR00329

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 4 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 4 Apr 2021)
  • [FCA CF] Material risk taker (4 Apr 2021 to 8 Jun 2023)
• Katherine Elizabeth Burton

  IRN KEB01058

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 1 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
  • [FCA CF] Material risk taker (1 Apr 2021 to 8 Jun 2023)

No changes recorded yet.