Keith Bayley Rogers & Co Limited

• Principal Place of Business

  83 Victoria Street

  London

  SW1H 0HW

  UNITED KINGDOM

  Phone

  +4402074644090

  Web

  https://www.kbrl.co.uk

• Complaints Contact

  83 Victoria Street

  London

  EC2R 8AY

  UNITED KINGDOM

  Phone

  +4402074644090

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations 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.
  • · The firm is limited to corporate finance business when advising retail clients

• 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, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, 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.

• Alan George Field

  IRN AGF01013

  • CF10 Compliance Oversight (29 Jul 2002 to 8 Dec 2006)
  • CF11 Money Laundering Reporting (29 Jul 2002 to 26 Mar 2008)
• Alec Howard Drummon

  IRN AHD01022

  • CF30 Customer (1 Nov 2007 to 29 Sep 2009)
  • CF3 Chief Executive (8 Feb 2007 to 11 Dec 2008)
  • CF8 Apportionment and Oversight (3 Feb 2006 to 31 Oct 2007)
  • CF27 Investment Management (1 Apr 2005 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 11 Dec 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Alec John Cuthbert

  IRN AJC00024

  • CF24 Pension Transfer Specialist (7 Aug 2002 to 3 Dec 2004)
  • CF21 Investment Adviser (7 Aug 2002 to 3 Dec 2004)
• Alexander Michael Ferguson Beckett

  IRN AMB01138

  • CF21 Investment Adviser (1 Dec 2001 to 9 May 2003)
  • CF27 Investment Management (1 Dec 2001 to 9 May 2003)
• Alexander Theodore Whittaker

  IRN ATW01029

  • CF21 Investment Adviser (1 Dec 2001 to 19 Feb 2002)
• Andrew Allister Knott

  IRN AAK01035

  • CF30 Customer (26 Feb 2014 to 21 Mar 2019)
• Andrew David Covell

  IRN ADC01076

  • CF1 Director (1 Dec 2001 to 3 Dec 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
• Anthony Arthur William Dix

  IRN AAD01015

  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
• Aubyn Moore De Margary

  IRN AMD01059

  • CF23 Corporate Finance Adviser (22 Jan 2004 to 23 May 2005)
• Brian Frederick Ficken

  IRN BFF01004

  • CF21 Investment Adviser (1 Dec 2001 to 2 Jun 2003)

No changes recorded yet.