Jarvis Investment Management Limited

• Principal Place of Business

  78 Mount Ephraim

  Tunbridge Wells

  Kent

  TN4 8BS

  UNITED KINGDOM

  Phone

  +4401892510515

  Web

  https://www.jarvisim.co.uk

• Complaints Contact

  78 Mount Ephraim

  Tunbridge Wells

  Kent

  TN4 8BS

  UNITED KINGDOM

  Phone

  +4401892510515

• 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, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · (i) Unable to hold investors' financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook; and (ii) Unable to underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.
  • · 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), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Keeley Danielle Ayling

  IRN KXA00087

  • [FCA CF] Client dealing (29 Jun 2020 to 23 May 2025)
• Kelly Louise Moran

  IRN KXM00208

  • [FCA CF] Client dealing (16 Apr 2020 to 25 Jun 2020)
• Kerry Dyce

  IRN KXB01194

  • [FCA CF] Proprietary trader (3 Oct 2024 to 11 Feb 2025)
  • [FCA CF] Material risk taker (3 Oct 2024 to 11 Feb 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Feb 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 11 Feb 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Feb 2025)
  • CF11 Money Laundering Reporting (27 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (8 Apr 2003 to 31 Oct 2007)
• Kieran Price

  IRN KXP01493

  • [FCA CF] Material risk taker (3 Oct 2024 to 15 Jan 2026)
  • [FCA CF] Significant management (26 Feb 2024 to 15 Jan 2026)
• Kraig Noble

  IRN KCN01006

  • CF30 Customer (7 Feb 2011 to 9 Sep 2011)
• Lauren Myerscough

  IRN LXM00532

  • [FCA CF] Client dealing (9 Nov 2022 to 29 Aug 2023)
• Lionel George Grant

  IRN LGG00001

  • CF1 Director (1 Dec 2001 to 23 Jun 2010)
• Lisa Fisher

  IRN LXF00196

  • [FCA CF] Significant management (4 Apr 2023 to 3 Oct 2024)
• Lorraine Bing

  IRN LHS00014

  • CF10a CASS Oversight function (1 Oct 2011 to 31 Oct 2012)
  • CF11 Money Laundering Reporting (14 Sep 2010 to 31 Oct 2012)
  • CF10 Compliance Oversight (14 Sep 2010 to 31 Oct 2012)
• Lucy-Jasmine Chester

  IRN LXC01699

  • CF11 Money Laundering Reporting (22 Apr 2015 to 7 Jul 2015)
  • CF10 Compliance Oversight (22 Apr 2015 to 7 Jul 2015)

• Astor Securities Limited (no longer appointed)

  FRN 455518 · Appointed 28 Aug 2007 · Until 1 Oct 2007

• Share Gain Ltd (no longer appointed)

  FRN 456187 · Appointed 17 Aug 2006 · Until 20 Sep 2010

• Bridge Hall Stockbrokers Ltd (no longer appointed)

  FRN 435373 · Appointed 11 Jul 2005 · Until 22 Feb 2006

• Unquoted Trader Limited (no longer appointed)

  FRN 195619 · Appointed 1 May 2001 · Until 1 Nov 2002

• Dudley Road Nominees Limited (no longer appointed)

  FRN 191791 · Appointed 8 May 2000 · Until 30 May 2010

No changes recorded yet.