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.

• Jatin Kumar Chandrakant Patel

  IRN JKP01021

  • CF21 Investment Adviser (5 Feb 2007 to 23 Mar 2007)
• Jeremy Lester-Swindell

  IRN JXL01461

  • CF30 Customer (1 Nov 2007 to 21 Apr 2008)
  • CF21 Investment Adviser (20 Nov 2006 to 31 Oct 2007)
• Joachim Gottschalk

  IRN JWG01061

  • CF1 Director (8 Dec 2011 to 7 Sep 2015)
  • CF2 Non Executive Director (1 Dec 2001 to 1 Dec 2011)
• John Alastair Muir

  IRN JAM01456

  • CF30 Customer (17 Jun 2015 to 9 Feb 2016)
• Kayleigh Smith

  IRN KXS02653

  • CF30 Customer (1 May 2018 to 8 Dec 2019)
• Kevin John Maloney

  IRN KJM01195

  • CF1 Director (11 Oct 2012 to 31 Mar 2017)
• Lawrence Jay Lasser

  IRN LJL01060

  • CF2 Non Executive Director (24 Sep 2012 to 20 May 2013)
• Louise Whitestone

  IRN LMY01007

  • CF4 Partner (AR) (25 Jan 2013 to 7 Jun 2013)
  • CF30 Customer (25 Jan 2013 to 7 Jun 2013)
• Man Kit Matthew Li

  IRN MKL01031

  • CF30 Customer (23 Oct 2014 to 12 May 2015)
• Marc-Phillipe Davies

  IRN MXD01695

  • CF30 Customer (21 Feb 2014 to 1 Oct 2014)

• 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.