Kingswood Corporate Finance Limited

Date authorised
1 April 2013
Companies House
02251240
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3 Coldbath Square
    London
    EC1R 5HL
    UNITED KINGDOM
    Phone
    +4402078410000

  • Complaints Contact

    3 Coldbath Square
    London
    EC1R 5HL
    UNITED KINGDOM
    Phone
    +4402078410000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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, Life Policy, 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
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Certificates representing certain security, 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, Life Policy, 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
    • · 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, Certificates representing certain security, 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, Life Policy, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Richard Bernstein

    IRN RXB02710

    • SMF3 Executive Director (5 Jun 2020 to 25 May 2023)
    • SMF16 Compliance Oversight (5 Jun 2020 to 25 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Jun 2020 to 25 May 2023)
  • Richard Michael Behan

    IRN RXB00634

    • SMF3 Executive Director (since 11 Aug 2022)
  • Richard Scott Massing

    IRN RXM00441

    • SMF16 Compliance Oversight (since 30 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jun 2023)
    • SMF3 Executive Director (since 6 Jul 2021)
  • Saad Aouad

    IRN SXA01629

    • CF1 Director (AR) (19 Sep 2013 to 6 Oct 2021)
    • CF30 Customer (19 Sep 2013 to 6 Oct 2021)
  • Shemeel Nigel Khan

    IRN SNK01014

    • CF30 Customer (1 Nov 2007 to 28 Feb 2011)
    • CF4 Partner (AR) (1 Apr 2007 to 28 Feb 2011)
    • CF21 Investment Adviser (1 Apr 2007 to 31 Oct 2007)
    • CF1 Director (1 Apr 2007 to 4 Nov 2010)
  • Sofia Rocha

    IRN SXR01601

    • CF30 Customer (2 Sep 2014 to 1 Oct 2015)
  • Toby Francis Fitzherbert

    IRN TFF00006

    • CF30 Customer (10 Oct 2017 to 29 Sep 2018)
  • Yassine Benjelloun

    IRN YXB01008

    • CF1 Director (AR) (14 Oct 2016 to 23 Mar 2021)
    • CF30 Customer (31 Jul 2015 to 23 Mar 2021)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.