LumX Asset Management (U.K.) Limited

• Principal Place of Business

  c/o S&W Partners LLP

  45 Gresham Street

  London

  EC2V 7BG

  UNITED KINGDOM

  Phone

  +442046175500

• Complaints Contact

  c/o S&W Partners LLP

  45 Gresham Street

  London

  EC2V 7BG

  UNITED KINGDOM

  Phone

  +442046175500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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, 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.

• 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, 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), 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.

• Stockbroking

  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), 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, 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, 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.

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  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), 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.

• Alan Bruce Gascoine

  IRN ABG01016

  • CF30 Customer (1 Apr 2014 to 31 Mar 2017)
• Alasdair Ogilvy

  IRN AJO01038

  • CF21 Investment Adviser (9 Dec 2002 to 5 Mar 2004)
• Alexandru Vladimir Gaitan

  IRN AVG01014

  • CF30 Customer (2 Dec 2013 to 14 May 2014)
• Alison Hatcher

  IRN AXH01774

  • CF30 Customer (1 Nov 2007 to 28 Jan 2008)
  • CF21 Investment Adviser (16 Mar 2007 to 31 Oct 2007)
• Andreas Ruben Keijsers

  IRN ARK01041

  • CF28 Systems and controls (15 Apr 2011 to 12 May 2015)
  • CF3 Chief Executive (15 Apr 2011 to 12 May 2015)
  • CF1 Director (2 Dec 2009 to 1 Dec 2011)
• Andrew Crawford

  IRN AXC03285

  • CF30 Customer (15 Sep 2017 to 4 Oct 2019)
• Arnaud Massenet

  IRN AXM01467

  • CF30 Customer (1 Nov 2007 to 16 Nov 2010)
  • CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)
• Benjamin Beribak

  IRN BXB01398

  • CF30 Customer (1 Mar 2011 to 31 Mar 2017)
• Bjorg Thon Klem

  IRN BTK00004

  • CF30 Customer (1 Nov 2007 to 13 Jul 2009)
  • CF21 Investment Adviser (28 Jun 2005 to 31 Oct 2007)
• Bruno Beat Pfister

  IRN BBP00009

  • CF2 Non Executive Director (13 Sep 2012 to 12 Jan 2016)

• Frontier Investment Management LLP (no longer appointed)

  FRN 736181 · Appointed 12 Feb 2016 · Until 10 Apr 2017

• Above Wealth LLP (no longer appointed)

  FRN 580105 · Appointed 24 Apr 2012 · Until 13 Jun 2013

No changes recorded yet.