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.

• Sooraj Mahesh

  IRN SXM90163

  • [FCA CF] Client dealing (1 Jun 2023 to 9 Dec 2024)
• Stefano Valeri

  IRN SXV01482

  • [FCA CF] Client dealing (since 22 Aug 2023)
• Stephen Shields

  IRN SXS04749

  • [FCA CF] Manager of certification employee (16 Dec 2022 to 30 Mar 2026)
  • [FCA CF] Client dealing (16 Dec 2021 to 30 Mar 2026)
• Thomas Michael Ian Wilson

  IRN TMW01091

  • [FCA CF] Client dealing (19 May 2025 to 17 Feb 2026)
• Vincent Philippe Rene Laurence

  IRN VPL01007

  • [FCA CF] Client dealing (1 Mar 2023 to 15 Dec 2025)
• Xingzhou Lu

  IRN XXL01153

  • [FCA CF] Client dealing (since 1 Mar 2022)
• Yan Shen

  IRN YXS00029

  • [FCA CF] Client dealing (18 Jun 2025 to 19 Feb 2026)
• Yu Fan

  IRN YXF46539

  • [FCA CF] Client dealing (29 Jan 2025 to 14 Apr 2026)
• ZhongWen Lee

  IRN ZWL01000

  • [FCA CF] Manager of certification employee (1 Jun 2023 to 4 Oct 2024)
  • [FCA CF] Client dealing (2 May 2023 to 4 Oct 2024)

No changes recorded yet.