Houlihan Lokey UK Limited

• Principal Place of Business

  1 Curzon Street

  London

  W1J 5HD

  UNITED KINGDOM

  Phone

  +4402078393355

  Web

  https://www.hl.com

• Complaints Contact

  One Curzon Street

  London

  W1J 5HD

  UNITED KINGDOM

  Phone

  +4402078393355

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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.

• Roy Ong

  IRN RXO00142

  • [FCA CF] Client dealing (1 Apr 2024 to 10 Dec 2024)
• Saatwik Gupta

  IRN SXG00866

  • [FCA CF] Client dealing (3 Jan 2025 to 13 Jun 2025)
• Salil Shah

  IRN SAS01331

  • [FCA CF] Client dealing (since 1 Apr 2024)
• Sally Easton Thomas

  IRN SXE00111

  • SMF3 Executive Director (since 27 Jan 2025)
  • [FCA CF] CASS oversight function (since 1 Apr 2024)
• Sam Fuller

  IRN SEF01037

  • [FCA CF] Client dealing (since 1 Oct 2024)
• Samantha Furniss

  IRN SXF00434

  • [FCA CF] Client dealing (since 1 Apr 2024)
• Samuel Bradley Stevens

  IRN SXS05132

  • [FCA CF] Client dealing (since 1 Apr 2024)
• Samuel Pattison

  IRN SXP01037

  • [FCA CF] Client dealing (since 29 Jan 2025)
• Samuel Peacock

  IRN SXP01143

  • [FCA CF] Client dealing (20 Oct 2025 to 12 Dec 2025)
• Sara Alalawi

  IRN SXA00758

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2024)
  • SMF16 Compliance Oversight (since 26 May 2023)

No changes recorded yet.