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

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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.

• Stephen Martin Middleton

  IRN SMM01154

  • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2021)
• Thomas Michael Oakman

  IRN TXO00046

  • SMF16 Compliance Oversight (20 Apr 2021 to 13 Sep 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (20 Apr 2021 to 13 Sep 2022)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 31 Jan 2021)
• Timothy Callaway

  IRN TXC00360

  • [FCA CF] Material risk taker (3 Oct 2024 to 15 Jan 2026)
  • [FCA CF] Significant management (3 Oct 2024 to 15 Jan 2026)
  • [FCA CF] CASS oversight function (8 Aug 2023 to 15 Jan 2026)
• Toni Ann Hodd

  IRN TXH00124

  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2024)
• William Kett

  IRN WXK01021

  • SMF3 Executive Director (since 30 Oct 2024)

• Astor Securities Limited (no longer appointed)

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No changes recorded yet.