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.

• Gary Hilton Weiss

  IRN GHW01026

  • CF2 Non Executive Director (31 Aug 2004 to 18 Jun 2010)
• Gerben Richard Westra

  IRN GRW01091

  • CF2 Non Executive Director (9 Oct 2008 to 3 Nov 2010)
• Gijs-Jan Hein Voskamp

  IRN GHV01003

  • [FCA CF] Client dealing (since 17 Feb 2023)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF3 Chief Executive (14 Aug 2012 to 8 Dec 2019)
  • CF1 Director (7 Sep 2011 to 8 Dec 2019)
  • CF30 Customer (25 Jul 2011 to 8 Dec 2019)
  • CF2 Non Executive Director (18 Nov 2010 to 31 Aug 2011)
• Jacob Willem Floris Lelivelt

  IRN JWL01082

  • CF30 Customer (24 Apr 2014 to 31 Oct 2016)
• Jeroen Hendrik - Jan Voskamp

  IRN JHV01015

  • CF2 Non Executive Director (8 Aug 2007 to 8 Dec 2019)
• John Humphrey Gunn

  IRN JHG01044

  • CF2 Non Executive Director (3 Jan 2007 to 18 Jun 2010)
• John Nicholas Buller Curtis

  IRN JNC01055

  • CF30 Customer (15 Sep 2009 to 1 Sep 2015)
• John Walter Wood

  IRN JWW01091

  • CF2 Non Executive Director (24 Jan 2005 to 18 Jun 2010)
• Julian Peter Spencer

  IRN JPS01080

  • CF21 Investment Adviser (29 May 2002 to 7 Jul 2003)
  • CF1 Director (29 May 2002 to 22 Jan 2003)
• Karen Lorraine George

  IRN KLG01037

  • CF30 Customer (17 Jul 2011 to 17 Oct 2011)
  • CF10 Compliance Oversight (20 Aug 2008 to 17 Oct 2011)
  • CF11 Money Laundering Reporting (20 Aug 2008 to 17 Oct 2011)

No changes recorded yet.