Ludgate Investments Limited

• Principal Place of Business

  Third Floor

  20 Old Bailey

  London

  City Of London

  EC4M 7AN

  UNITED KINGDOM

  Phone

  +4402034781000

  Web

  https://www.ludgate.com

• Complaints Contact

  Third Floor 20 Old Bailey

  London

  EC4M 7AN

  UNITED KINGDOM

  Phone

  +442034781000

• 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  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), Rolling spot forex contract, 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.

• Stockbroking

  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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to ICVC, AUT and other recognised and unrecognised schemes box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "eligible counterparty".

• 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Private Investment Funds

• 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Alessandro Rospigliosi

  IRN AXR01752

  • CF27 Investment Management (26 Feb 2007 to 1 Sep 2007)
• Anthony David Burton

  IRN ADB01150

  • CF2 Non Executive Director (7 Sep 2004 to 18 Jun 2010)
• Anthony Jonathan Weir Powell

  IRN AJP01248

  • CF10 Compliance Oversight (19 Aug 2004 to 4 Nov 2004)
  • CF11 Money Laundering Reporting (19 Aug 2004 to 4 Nov 2004)
  • CF2 Non Executive Director (24 Apr 2003 to 23 Sep 2004)
• Bernard Joseph Bulkin

  IRN BJB01119

  • CF2 Non Executive Director (18 Jul 2012 to 25 Jul 2017)
• Charles Adam Laurie Sebag-Montefiore

  IRN CAS01070

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (27 Sep 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (25 Oct 2011 to 31 Oct 2012)
  • CF30 Customer (1 Nov 2007 to 31 Oct 2012)
  • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2012)
  • CF11 Money Laundering Reporting (18 Nov 2004 to 31 Jan 2006)
  • CF13 Finance (18 Nov 2004 to 31 Oct 2007)
  • CF1 Director (18 Nov 2004 to 27 Sep 2013)
  • CF23 Corporate Finance Adviser (18 Nov 2004 to 31 Oct 2007)
• Christopher Michael Jefferies Hancock

  IRN CMH01079

  • CF30 Customer (21 Jul 2010 to 20 Nov 2013)
• Daniel Asher Weiss

  IRN DAW01138

  • CF2 Non Executive Director (30 Jan 2007 to 18 Jun 2010)
  • CF1 Director (6 Sep 2004 to 30 Jan 2007)
  • CF23 Corporate Finance Adviser (2 Jun 2004 to 16 Nov 2005)
  • CF21 Investment Adviser (2 Jun 2004 to 30 Jan 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 16 Nov 2005)
• Edward Daniels

  IRN EJD01042

  • CF30 Customer (1 Nov 2007 to 4 Oct 2010)
  • CF23 Corporate Finance Adviser (29 May 2007 to 31 Oct 2007)
• Edward Thomas Rudd

  IRN ETR01005

  • CF1 Director (30 Oct 2002 to 23 Sep 2004)
  • CF13 Finance (30 Oct 2002 to 4 Nov 2004)
  • CF21 Investment Adviser (24 May 2002 to 4 Nov 2004)
  • CF23 Corporate Finance Adviser (20 May 2002 to 24 May 2002)
  • CF26 Customer Trading (20 May 2002 to 24 May 2002)
• Ekaterina Alexandra Sharashidze Voskamp

  IRN EAS01089

  • [FCA CF] Client dealing (since 17 Feb 2023)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (18 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (18 Jul 2014 to 8 Dec 2019)
  • CF2 Non Executive Director (14 Aug 2012 to 12 Jun 2014)

No changes recorded yet.