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.

• Edward Jonathan Weetman

  IRN EJW01062

  • [FCA CF] Client dealing (since 6 Mar 2025)
• Elina Smith

  IRN EXS00440

  • [FCA CF] Client dealing (since 20 Jun 2025)
• Elliot Marshall

  IRN EXM21284

  • [FCA CF] Client dealing (15 Nov 2021 to 9 Apr 2026)
• Frederick Colston

  IRN FXC00118

  • [FCA CF] Client dealing (since 3 Oct 2022)
• George Henry Strang

  IRN GXS10025

  • [FCA CF] Client dealing (since 9 Jun 2025)
• George Macdonald

  IRN GXM72062

  • [FCA CF] Client dealing (since 10 Sep 2024)
• Gert Thomas van Rooyen

  IRN GXV01067

  • [FCA CF] Manager of certification employee (since 6 Mar 2025)
  • [FCA CF] Client dealing (since 1 Nov 2024)
• Giovanni Rubino

  IRN GXR01190

  • [FCA CF] Client dealing (since 1 Dec 2022)
• Graham Bruce Lachlan Ewen

  IRN GBE01008

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

  IRN IJC01029

  • [FCA CF] Client dealing (1 Dec 2022 to 19 Mar 2025)

No changes recorded yet.