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

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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.

• Benjamin Phillip Lynch

  IRN BXL01166

  • [FCA CF] Manager of certification employee (1 Mar 2023 to 22 Dec 2025)
  • [FCA CF] Client dealing (1 Mar 2023 to 22 Dec 2025)
• Benjamin Thomas Scarlett

  IRN BTS01021

  • [FCA CF] Manager of certification employee (since 9 Jan 2026)
  • [FCA CF] Client dealing (since 12 Nov 2025)
• Clarence Tee

  IRN CXT00455

  • [FCA CF] Client dealing (2 Jan 2024 to 8 May 2025)
• Daniel Conboy

  IRN DXC00712

  • [FCA CF] Client dealing (since 24 Oct 2023)
• Daniel James Hiscox

  IRN DJH01332

  • [FCA CF] Manager of certification employee (since 30 May 2023)
  • [FCA CF] Client dealing (since 11 Jul 2022)
• Daniel James Medley

  IRN DJM01597

  • [FCA CF] Client dealing (since 19 Dec 2022)
• David Cheung

  IRN DXC01788

  • [FCA CF] Client dealing (since 17 Jan 2024)
• Demetrio Jose Rojas Aguilera

  IRN DJA01171

  • [FCA CF] Client dealing (15 Nov 2021 to 20 Mar 2025)
• Dominik Alexander Frauendienst

  IRN DAF01102

  • [FCA CF] Client dealing (16 Dec 2021 to 28 Feb 2022)
• Edward Grissell

  IRN EXG01329

  • [FCA CF] Client dealing (since 2 Feb 2026)
  • [FCA CF] Manager of certification employee (since 2 Feb 2026)

No changes recorded yet.