North Rock Capital Management (UK) LLP

• Principal Place of Business

  Second Floor

  48-49 Pall Mall

  London

  SW1Y 5JG

  ENGLAND

  Phone

  +442031899470

  Web

  https://www.northrockllc.com

• Complaints Contact

  Second Floor

  48-49 Pall Mall

  London

  SW1Y 5JG

  ENGLAND

  Phone

  +442045186913

• 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), Share, 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 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

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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.

• 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

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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.

• 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), Share, 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, 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.

• Andrew Francis Caldwell

  IRN AFC01053

  • [FCA CF] Client dealing (1 Mar 2022 to 2 Jan 2024)
• Andrew McEvoy

  IRN AXM05272

  • [FCA CF] Client dealing (since 13 May 2024)
• Andrew Richard Farnell

  IRN AXF01395

  • [FCA CF] Client dealing (since 20 Apr 2026)
• Anthony Locke

  IRN AXL01257

  • [FCA CF] Client dealing (since 1 Apr 2025)
• Antoine Foucher

  IRN AXF01529

  • SMF27 Partner (1 Apr 2021 to 24 Jun 2025)
• Antonios Kaloy

  IRN AXK71366

  • [FCA CF] Manager of certification employee (24 Oct 2023 to 16 Apr 2026)
  • [FCA CF] Client dealing (1 Jun 2023 to 16 Apr 2026)
• Antony David Edward Eccles

  IRN ADE01026

  • SMF27 Partner (since 13 Jun 2025)
  • [FCA CF] Manager of certification employee (16 Dec 2021 to 10 Sep 2025)
  • [FCA CF] Client dealing (16 Dec 2021 to 10 Sep 2025)
• Anvesh Agrawal

  IRN AXA03544

  • [FCA CF] Client dealing (since 18 Jun 2025)
• Ardeshir Hashemi

  IRN AXH01835

  • [FCA CF] Manager of certification employee (since 4 Jul 2025)
  • [FCA CF] Client dealing (since 1 Apr 2025)
• Benjamin Bowring

  IRN BXB00442

  • [FCA CF] Client dealing (since 1 Aug 2025)

No changes recorded yet.