HOBART CAPITAL MARKETS LLP

• Principal Place of Business

  Dean Bradley House

  52 Horseferry Road

  London

  SW1P 2AF

  UNITED KINGDOM

  Phone

  +4402070705656

  Web

  https://www.hobartcapital.com

• Complaints Contact

  Hobart Capital Markets Llp

  Dean Bradley House

  52 Horseferry Road

  London

  Westminster

  SW1P 2AF

  UNITED KINGDOM

  Phone

  +4402070705656

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Lloyd Anthony Smith

  IRN LAS01044

  • CF30 Customer (17 Jun 2013 to 24 Mar 2016)
• Lucy Anne Kelleher

  IRN LXK00119

  • [FCA CF] Client dealing (since 21 Mar 2022)
• Luke David Patten

  IRN LXP00168

  • [FCA CF] Client dealing (since 15 Feb 2023)
• Mark Andrew Freeman

  IRN MAF01109

  • [FCA CF] Client dealing (1 Aug 2022 to 26 Mar 2024)
  • CF30 Customer (8 May 2014 to 30 Apr 2018)
• Mark Barry Fidgen

  IRN MBF01008

  • CF30 Customer (16 Jan 2015 to 13 Sep 2015)
• Mark Edwin Scates

  IRN MES01078

  • CF30 Customer (28 Dec 2016 to 14 May 2018)
• Mark Nathan Engelberg

  IRN MNE01005

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (2 Apr 2013 to 8 Dec 2019)
• Martin Conrad James Dobson

  IRN MCD01033

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (2 Apr 2013 to 8 Dec 2019)
• Michael David Hooker

  IRN MDH01068

  • 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 1 Nov 2022)
  • [FCA CF] Client dealing (since 9 Dec 2020)
• Michael Staten

  IRN MPS01115

  • [FCA CF] Client dealing (since 1 Jul 2024)

• BOSH LIMITED (no longer appointed)

  FRN 973454 · Appointed 4 Apr 2022 · Until 17 Nov 2025 · Tied agent

• DDGI Limited (no longer appointed)

  FRN 646882 · Appointed 17 Sep 2014 · Until 23 Dec 2020

• DD&CO LIMITED (no longer appointed)

  FRN 646679 · Appointed 16 Sep 2014 · Until 1 Jul 2024

No changes recorded yet.