J.P. MORGAN PERSONAL INVESTING LIMITED

• Principal Place of Business

  25 Bank Street

  London

  E14 5JP

  UNITED KINGDOM

  Phone

  +442035981515

  Web

  https://www.personalinvesting.jpmorgan.com

• Complaints Contact

  25 Bank Street

  London

  E14 5JP

  UNITED KINGDOM

  Phone

  +442035981515

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Debenture, Government and public security, Personal pension scheme, 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), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, 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.

• Chandni Gupta

  IRN CXG00241

  • [FCA CF] Client dealing (17 Mar 2021 to 1 Mar 2022)
  • [FCA CF] Manager of certification employee (17 Mar 2021 to 1 Mar 2022)
• Chikako Matsumoto

  IRN CXM02333

  • CF30 Customer (31 Mar 2016 to 4 Jan 2017)
• Christophe W Aba

  IRN CXA00444

  • Director of firm who is not a certification employee or a SMF manager (since 26 Sep 2025)
• Christopher Liebetrau

  IRN CXL09940

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 26 Mar 2025)
  • [FCA CF] Client dealing (since 19 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 19 Aug 2020)
• Christopher Littler

  IRN CXL00200

  • [FCA CF] Material risk taker (31 Aug 2021 to 27 Oct 2022)
  • [FCA CF] Significant management (30 Nov 2020 to 12 Jul 2023)
  • [FCA CF] Manager of certification employee (30 Nov 2020 to 12 Jul 2023)
• Christopher Melton Leach

  IRN CML01033

  • CF10 Compliance Oversight (6 Oct 2011 to 14 Dec 2012)
  • CF30 Customer (6 Oct 2011 to 31 Dec 2012)
  • CF11 Money Laundering Reporting (6 Oct 2011 to 14 Dec 2012)
• Claire Edwards

  IRN CXE45891

  • [FCA CF] Manager of certification employee (since 13 Nov 2025)
• Claire Louise Exley

  IRN CXB00246

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 5 Oct 2022)
  • [FCA CF] Client dealing (since 26 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 26 Aug 2022)
• Clive Peter Adamson

  IRN CPA01034

  • SMF9 Chair of the Governing Body (since 11 Mar 2022)
  • Director of firm who is not a certification employee or a SMF manager (since 24 Sep 2021)
• Colin Tham

  IRN CXT45817

  • [FCA CF] Material risk taker (23 Nov 2022 to 18 May 2025)

• John Lewis PLC (no longer appointed)

  FRN 416011 · Appointed 17 Mar 2021 · Until 15 Aug 2024

No changes recorded yet.