LGT Wealth Management US Limited

• Principal Place of Business

  14 Cornhill

  London

  EC3V 3NR

  UNITED KINGDOM

  Phone

  +4402032078000

  Web

  https://www.lgtwm-us.com

• Complaints Contact

  14 Cornhill

  London

  EC3V 3NR

  UNITED KINGDOM

  Phone

  +4402032078000

  Web

  https://www.lgtwm-us.com

• P2P Lending Advice

  For Professional, Retail (Investment)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For 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, Life Policy, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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.

• 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 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, Life Policy, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For 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, Life Policy, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Credit Brokering

• Stockbroking

  For 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, Life Policy, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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 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, Life Policy, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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 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, Life Policy, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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.

• Julie James

  IRN JXJ01603

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Feb 2025)
• Mary-Ann Anderson

  IRN MXA17258

  • [FCA CF] Client dealing (2 Apr 2024 to 22 Aug 2025)
  • [FCA CF] Functions requiring qualifications (2 Apr 2024 to 22 Aug 2025)
• Matthew Benedict Evans

  IRN MBE01009

  • CF1 Director (2 Apr 2013 to 1 Dec 2016)
• Matthew Scott Guy

  IRN MSG01043

  • [FCA CF] Client dealing (1 Feb 2020 to 31 Jan 2022)
  • [FCA CF] Functions requiring qualifications (1 Feb 2020 to 31 Jan 2022)
• Miles Berryman

  IRN MSB01050

  • [FCA CF] Client dealing (1 Feb 2020 to 28 May 2021)
  • [FCA CF] Functions requiring qualifications (1 Feb 2020 to 28 May 2021)
  • CF30 Customer (12 Jun 2017 to 8 Dec 2019)
• Neil Mark Williams

  IRN NMW01042

  • CF30 Customer (2 Apr 2013 to 9 Aug 2018)
  • CF1 Director (2 Apr 2013 to 9 Aug 2018)
• Nicholas James Blogg

  IRN NJB01207

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 17 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2020)
  • [FCA CF] Client dealing (since 1 Feb 2020)
  • CF30 Customer (13 Feb 2014 to 8 Dec 2019)
• Olawale Temitayo Adeosun

  IRN OTA01001

  • [FCA CF] Functions requiring qualifications (1 Feb 2020 to 31 Jan 2022)
• Olivier De Perregaux

  IRN OXD01060

  • CF2 Non Executive Director (1 Sep 2016 to 8 Dec 2019)
• Paul David John Martin

  IRN PDM01058

  • [FCA CF] Material risk taker (1 Feb 2020 to 30 Jun 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Dec 2021)
  • CF11 Money Laundering Reporting (30 Jan 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Jan 2017 to 16 Jul 2018)

No changes recorded yet.