NORTHERN LIGHTS ALTERNATIVE ADVISORS LLP

• Principal Place of Business

  Rex House 4-12 Regent St

  London

  SW1Y 4PE

  UNITED KINGDOM

  Phone

  +442072917372

  Web

  https://www.nlaa.com

• Complaints Contact

  Rex House 4-12 Regent St

  London

  SW1Y 4PE

  UNITED KINGDOM

  Phone

  +442072917372

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Debenture, 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)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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)" is limited to the investment types granted for this activity.

• . Northern Lights Capital Partners (UK) Li

  IRN XXN01043

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (8 Jan 2015 to 8 Dec 2019)
• Christiane Benga

  IRN CXB20647

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Nov 2021)
  • CF30 Customer (30 Sep 2019 to 8 Dec 2019)
• Daniel Robert Christey O'Brien

  IRN DRO01036

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Jan 2016 to 8 Dec 2019)
• Dominic James Haviland Slade

  IRN DJS01194

  • CF4 Partner (3 Mar 2009 to 30 Mar 2012)
• Dominic Mark Trusted

  IRN DMT01060

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Nov 2022)
  • SMF16 Compliance Oversight (since 7 Nov 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (17 Oct 2009 to 8 Dec 2019)
  • CF30 Customer (17 Oct 2009 to 8 Dec 2019)
• James Dormer

  IRN JXD01766

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (20 Jun 2014 to 8 Dec 2019)
• Roger Edward Denby-Jones

  IRN RED01028

  • CF10 Compliance Oversight (15 Mar 2016 to 18 Dec 2017)
  • CF11 Money Laundering Reporting (15 Mar 2016 to 18 Dec 2017)
  • CF30 Customer (15 Mar 2016 to 31 Mar 2018)
  • CF4 Partner (15 Mar 2016 to 31 Mar 2018)
• Timothy Alexander Morgan

  IRN TAM01034

  • CF4 Partner (3 Mar 2009 to 13 Sep 2016)
  • CF30 Customer (3 Mar 2009 to 13 Sep 2016)
  • CF3 Chief Executive (3 Mar 2009 to 13 Sep 2016)
  • CF11 Money Laundering Reporting (3 Mar 2009 to 11 May 2016)
  • CF10 Compliance Oversight (3 Mar 2009 to 11 May 2016)
• Vincent Philippe Le Hodey

  IRN VPL01003

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 22 Feb 2022)
  • SMF27 Partner (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Feb 2022)
  • CF11 Money Laundering Reporting (15 Feb 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Feb 2018 to 8 Dec 2019)
  • CF4 Partner (17 Mar 2016 to 8 Dec 2019)
  • CF30 Customer (17 Mar 2016 to 8 Dec 2019)

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