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

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  • · 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

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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, 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.

• Mark Chamberlain

  IRN MTC01061

  • CF30 Customer (1 Apr 2014 to 31 Mar 2017)
• Mark Oestergaard

  IRN MXO01361

  • CF30 Customer (15 Apr 2010 to 15 Oct 2013)
• Mark Patrick Slater

  IRN MPS01106

  • CF30 Customer (1 Feb 2013 to 9 Feb 2016)
• Maximilian Alexander Gottschalk

  IRN MXG01292

  • CF30 Customer (1 Nov 2007 to 6 Apr 2011)
  • CF28 Systems and controls (1 Nov 2007 to 6 Apr 2011)
  • CF8 Apportionment and Oversight (4 Apr 2005 to 31 Oct 2007)
  • CF3 Chief Executive (4 Apr 2005 to 6 Apr 2011)
  • CF21 Investment Adviser (30 Jun 2003 to 31 Oct 2007)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 6 Apr 2011)
• Michael Bernard Lorraine

  IRN MBL01032

  • CF30 Customer (26 Nov 2009 to 27 Feb 2012)
  • CF21 Investment Adviser (16 Apr 2007 to 31 Oct 2007)
• Michael Gerard Tuke

  IRN MGT01043

  • CF30 Customer (9 Dec 2008 to 2 Dec 2013)
• Michael William Azlen

  IRN MWA01009

  • CF4 Partner (AR) (29 Feb 2016 to 31 Mar 2017)
  • CF1 Director (4 Feb 2015 to 3 Dec 2015)
  • CF30 Customer (19 Feb 2014 to 31 Mar 2017)
• Michael William Oliver Garrett

  IRN MWG01041

  • CF2 Non Executive Director (12 Oct 2012 to 11 Sep 2017)
• Michele Marcello

  IRN MXM01298

  • CF30 Customer (27 Apr 2012 to 28 Nov 2012)
  • CF4 Partner (AR) (27 Apr 2012 to 28 Nov 2012)
• Natalia Greslikova

  IRN NXG01086

  • CF30 Customer (1 Nov 2007 to 30 Apr 2010)
  • CF21 Investment Adviser (22 Nov 2004 to 31 Oct 2007)

• 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.