J.P. Morgan Investment Management Inc

• Principal Place of Business

  270 Park Ave

  New York

  NY

  10017-2014

  UNITED STATES OF AMERICA

  Phone

  +18003431113

  Web

  https://am.jpmorgan.com/gb/en/asset-management/gim/welcome

• Complaints Contact

  J P Morgan, 60 Victoria Embankment

  London

  City Of London

  EC4Y 0JP

  UNITED KINGDOM

  Phone

  +440800204020

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Richard Henry Hollway

  IRN RHH01039

  • CF27 Investment Management (15 Apr 2004 to 8 Sep 2005)
• Richard Herberth

  IRN RXH01249

  • CF27 Investment Management (6 May 2003 to 29 Mar 2005)
  • CF26 Customer Trading (1 Jan 2003 to 31 Dec 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 6 May 2003)
• Richard James Bannister

  IRN RJB01610

  • CF30 Customer (24 Nov 2017 to 8 Dec 2019)
• Richard John Aston

  IRN RJA01061

  • CF27 Investment Management (2 Apr 2002 to 1 Aug 2003)
• Richard John Ward

  IRN RJW01286

  • CF27 Investment Management (17 Aug 2005 to 20 Apr 2007)
• Richard Morillot

  IRN RXM02253

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (18 Feb 2020 to 19 Oct 2020)
  • CF30 Customer (10 Feb 2014 to 8 Dec 2019)
• Richard Oswald

  IRN RWO01010

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 25 Jul 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2003)
• Richard Peter Webb

  IRN RPW01039

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Oct 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Sep 2025)
  • CF30 Customer (1 Nov 2007 to 20 Dec 2009)
  • CF27 Investment Management (2 Apr 2002 to 31 Oct 2007)
• Richard Sherry

  IRN RJS01183

  • CF27 Investment Management (1 Dec 2001 to 17 Jun 2005)
• Richard Stuart-Reckling

  IRN RXS01622

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Nov 2025)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (25 Jul 2019 to 8 Dec 2019)

No changes recorded yet.