MASECO LLP

• Principal Place of Business

  The KODAK Building

  11 Keeley Street

  London

  WC2B 4BA

  UNITED KINGDOM

  Phone

  +442070430455

  Web

  https://www.masecoprivatewealth.com

• Complaints Contact

  The KODAK Building

  11 Keeley Street

  London

  WC2B 4BA

  UNITED KINGDOM

  Phone

  +442070430455

• P2P Lending Advice

  For Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Arranges Asset Safekeeping

  For 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), Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Insurance Admin

  For Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Credit Brokering

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  • · Limited to not lending to increase the amount available for investment

• Stockbroking

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Manages Your Portfolio

  For 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Hannah Louise Pulleyn

  IRN HXP00095

  • [FCA CF] Client dealing (31 Mar 2021 to 23 Feb 2024)
  • [FCA CF] Functions requiring qualifications (31 Mar 2021 to 23 Feb 2024)
• Hayley Verlander

  IRN HXV00011

  • [FCA CF] Significant management (31 Mar 2021 to 1 Feb 2023)
• Helge Kostka

  IRN HXK01081

  • CF30 Customer (12 Jul 2016 to 8 Dec 2019)
• Henry Quentin Alexander Findlater

  IRN HQF01001

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
  • [FCA CF] Manager of certification employee (since 31 Mar 2021)
  • [FCA CF] Material risk taker (since 31 Mar 2021)
  • [FCA CF] Significant management (since 31 Mar 2021)
  • [PRA CF] Managing a material risk taker (31 May 2022 to 1 Jun 2023)
  • [PRA CF] Key function holder (31 Mar 2021 to 1 Jun 2023)
  • CF4 Partner (24 Apr 2017 to 14 Nov 2019)
  • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
• James Howard Smart

  IRN JHS00025

  • [FCA CF] Significant management (since 1 Jul 2021)
  • [FCA CF] Material risk taker (since 10 May 2021)
  • [PRA CF] Key function holder (1 Jul 2021 to 1 Jun 2023)
• James Robert Dundas Sellon

  IRN JRS01155

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [PRA CF] Managing a material risk taker (since 31 May 2022)
  • [FCA CF] Material risk taker (since 9 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Jul 2021)
  • [FCA CF] Client dealing (since 9 Jul 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Feb 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Feb 2024)
  • CF11 Money Laundering Reporting (28 Dec 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (15 May 2013 to 30 Sep 2018)
  • CF10 Compliance Oversight (10 Aug 2012 to 8 Dec 2019)
  • CF4 Partner (1 Dec 2008 to 8 Dec 2019)
  • CF30 Customer (1 Dec 2008 to 8 Dec 2019)
• Jennifer Eathorne

  IRN JXE00217

  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 1 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2022)
• Joshua Eli Matthews

  IRN JXM01676

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Material risk taker (since 9 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Jul 2021)
  • [FCA CF] Client dealing (since 9 Jul 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (31 May 2022 to 28 Apr 2023)
  • CF4 Partner (1 Dec 2008 to 8 Dec 2019)
  • CF30 Customer (1 Dec 2008 to 8 Dec 2019)
• Karen Gabay

  IRN KXG01105

  • CF30 Customer (7 Aug 2014 to 23 Feb 2015)
• Katharine Massey

  IRN KXM01626

  • CF4 Partner (31 Mar 2010 to 4 Feb 2012)

• Alternative Investment Research Limited (no longer appointed)

  FRN 728063 · Appointed 7 Dec 2015 · Until 9 Nov 2017

• AW Wealth Management Limited (no longer appointed)

  FRN 602385 · Appointed 10 Jun 2013 · Until 18 Mar 2014

No changes recorded yet.