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

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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, 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.

• Daniel James Havercroft

  IRN DJH01383

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 16 Apr 2024)
  • CF30 Customer (1 May 2018 to 8 Dec 2019)
• Daniel Williams

  IRN DXW00579

  • SMF3 Executive Director (since 12 May 2023)
• Danielle Smith

  IRN DXS00939

  • [FCA CF] Client dealing (since 1 Apr 2024)
• David Brock

  IRN DJB01262

  • [FCA CF] Client dealing (since 1 Apr 2024)
• David Colla

  IRN DXC00754

  • [FCA CF] Client dealing (since 30 Apr 2024)
• David John Samuel Kelnar

  IRN DJK01088

  • [FCA CF] Client dealing (since 1 Apr 2024)
• David John Till

  IRN DXT01187

  • SMF16 Compliance Oversight (9 Dec 2019 to 9 Feb 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Feb 2023)
  • SMF3 Executive Director (9 Dec 2019 to 9 Feb 2023)
  • CF1 Director (1 May 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 May 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 May 2018 to 8 Dec 2019)
• David Owen

  IRN DXO68247

  • [FCA CF] Client dealing (since 1 Oct 2024)
• Dean Graham

  IRN DXG00443

  • [FCA CF] Client dealing (1 Apr 2024 to 4 Jul 2024)
• Declan O'Connor

  IRN DDO01008

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

No changes recorded yet.