Lodge Quai Advisors LLP

• Principal Place of Business

  2nd floor

  32 Dover Street

  London

  Westminster

  W1S 4NE

  UNITED KINGDOM

  Phone

  +442034236307

  Web

  https://www.lodgequai.com

• Complaints Contact

  2nd floor

  32 Dover Street

  London

  W1S 4NE

  UNITED KINGDOM

  Phone

  +442034236307

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, 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, Alternative Debenture, Certificates representing certain security, 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, 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.

• CRAIG MONTAGUE WATERMAN

  IRN CXW00707

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Jan 2025)
• Colin Norman Frearson

  IRN CNF01008

  • [FCA CF] Client dealing (3 Feb 2020 to 29 Apr 2022)
• Daniele Valentino Quai

  IRN DVQ00002

  • SMF27 Partner (9 Dec 2019 to 15 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2023)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
  • CF4 Partner (1 Nov 2019 to 8 Dec 2019)
• Henry Cabot Lodge

  IRN HCL01016

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2023)
  • SMF27 Partner (9 Dec 2019 to 15 Jun 2023)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
  • CF4 Partner (1 Nov 2019 to 8 Dec 2019)
• Jonathan Matthew Evans

  IRN JME01117

  • SMF16 Compliance Oversight (since 20 Jan 2025)
  • SMF27 Partner (since 15 Nov 2022)
  • [FCA CF] Significant management (6 Sep 2022 to 28 Oct 2024)
• Matthew Thomas Diarmuid Gilpin

  IRN MTG01023

  • SMF1 Chief Executive (25 May 2023 to 30 Sep 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Sep 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2024)
  • SMF27 Partner (9 Dec 2019 to 15 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Oct 2024)
  • CF10 Compliance Oversight (1 Nov 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Nov 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
  • CF4 Partner (1 Nov 2019 to 8 Dec 2019)
• Oscar Johan Amundsen Bergman

  IRN OXB06704

  • [FCA CF] Client dealing (5 Jan 2024 to 6 Jan 2025)
• Thomas Bernhard Reckers

  IRN TBR01003

  • SMF27 Partner (since 20 Jan 2025)

No changes recorded yet.