Investcorp Securities Limited

• Principal Place of Business

  Investcorp House

  48 Grosvenor Street

  London

  W1K 3HW

  UNITED KINGDOM

  Phone

  +4402076296600

  Web

  https://www.investcorp.com

• Complaints Contact

  Investcorp House

  48 Grosvenor Street

  London

  W1K 3HW

  UNITED KINGDOM

  Phone

  +4402076296600

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, 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 activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, 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.

• Runs Investment Funds

• Investment Setup

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

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Alternative Debenture, Certificates representing certain security, Debenture, 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.

• Richard Taylor Warner

  IRN RTW01011

  • CF1 Director (1 Dec 2001 to 25 Apr 2003)
  • CF3 Chief Executive (1 Dec 2001 to 30 Jun 2002)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 25 Apr 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 25 Apr 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 30 Jun 2002)
• Riya Patel

  IRN RXP00250

  • [FCA CF] Client dealing (1 Jan 2021 to 30 Jun 2022)
• Robert William Bostock

  IRN RXB00429

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
• Roberta Vezzoli

  IRN RXV01153

  • [FCA CF] Client dealing (since 9 Dec 2019)
• SCOTT JON FREIDHEIM

  IRN SJF01224

  • CF30 Customer (1 Mar 2013 to 4 Aug 2014)
  • CF1 Director (1 Mar 2013 to 4 Aug 2014)
  • CF2 Non Executive Director (21 Dec 2011 to 27 Feb 2013)
• Sanjay Kohli

  IRN SXK01775

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Nov 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 11 Nov 2022)
  • CF30 Customer (28 Nov 2018 to 8 Dec 2019)
• Sewanyana Gulemye Kironde

  IRN SGK01016

  • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
  • CF26 Customer Trading (17 Feb 2006 to 31 Oct 2007)
• Soren Alexander Presser-Velder

  IRN SAP01064

  • CF21 Investment Adviser (20 Mar 2002 to 3 Nov 2003)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 3 Nov 2003)
• Stephanie Regina Bess

  IRN SRB01153

  • CF1 Director (31 Jan 2011 to 24 Aug 2017)
  • CF10 Compliance Oversight (22 Mar 2006 to 30 Jun 2017)
  • CF11 Money Laundering Reporting (22 Mar 2006 to 30 Jun 2017)
• Steven Gary Puccinelli

  IRN SGP01069

  • CF1 Director (19 Oct 2005 to 8 Jul 2008)
  • CF3 Chief Executive (19 Oct 2005 to 8 Jul 2008)
  • CF8 Apportionment and Oversight (19 Oct 2005 to 31 Oct 2007)

No changes recorded yet.