Marks Baughan Securities UK, LLP

Date authorised
1 April 2013
Companies House
OC329866
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    41 Devonshire St
    London
    W1G 7AJ
    UNITED KINGDOM
    Phone
    +442079277464
    Web
    https://www.marksbaughan.com

  • Complaints Contact

    41 Devonshire Street
    London
    W1G 7AJ
    UNITED KINGDOM
    Phone
    +442079277464

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · 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, Debenture, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · 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, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • . Marks Baughan & Co LLC

    IRN XXM01068

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (14 Nov 2007 to 8 Dec 2019)
  • Ian Glanville

    IRN IXG01075

    • CF30 Customer (28 May 2014 to 20 Sep 2018)
  • James M Marks

    IRN JMM01308

    • CF4 Partner (14 Nov 2007 to 9 Jan 2013)
  • John Nicholas Baughan

    IRN JNB01090

    • [FCA CF] Client dealing (since 14 Dec 2020)
    • SMF27 Partner (9 Dec 2019 to 10 Jan 2025)
    • CF4 Partner (14 Nov 2007 to 8 Dec 2019)
  • John Walter Jacobs

    IRN JWJ01008

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF21 Investment Adviser
    • CF4 Partner (14 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (14 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Nov 2007 to 8 Dec 2019)
  • Reuben Schreiber

    IRN RXS00980

    • [FCA CF] Client dealing (8 Jan 2024 to 16 Jan 2026)
  • Thomas Pigozzi

    IRN TXP00119

    • [FCA CF] Client dealing (12 Apr 2021 to 31 Mar 2025)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.