NUCLEUS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Greenside

  12 Blenheim Place

  Edinburgh

  Midlothian

  EH7 5JH

  UNITED KINGDOM

  Phone

  +4401312269800

  Web

  https://www.nucleusfinancial.com

• Complaints Contact

  Suite B & C

  First Floor

  Milford House

  43 - 55, Milford Street

  Salisbury

  Wiltshire

  SP1 2BP

  UNITED KINGDOM

  Phone

  +4401312269740

• 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 Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit

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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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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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 Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit

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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.

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

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  • · The firm is limited to dealing as principal in investments in the rights under the scheme(s) it operates.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit

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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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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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.

• John Anthony Levin

  IRN JAL01087

  • CF2 Non Executive Director (4 Apr 2017 to 8 Dec 2019)
• John Clark Moore

  IRN JCM00066

  • CF2 Non Executive Director (28 Apr 2011 to 20 Jan 2013)
• John Paul McAnulty

  IRN JXM01249

  • [FCA CF] Significant management (14 Nov 2022 to 18 Dec 2023)
• John Walls

  IRN JXW00312

  • [FCA CF] Significant management (9 Dec 2019 to 12 May 2022)
• Jonathan Charles Polin

  IRN JCP01056

  • CF2 Non Executive Director (4 May 2016 to 8 Dec 2019)
• Jonathan Letham

  IRN JXL16306

  • [FCA CF] Functions requiring qualifications (17 Feb 2022 to 29 Jun 2023)
  • [FCA CF] Material risk taker (17 Feb 2022 to 29 Jun 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 29 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Feb 2022)
  • CF29 Significant management (3 Sep 2019 to 8 Dec 2019)
  • CF30 Customer (3 Sep 2019 to 8 Dec 2019)
• Jonpaul Miller

  IRN JXM36944

  • [FCA CF] Significant management (14 Nov 2022 to 31 Jan 2024)
• Judith Davidson

  IRN JXD02017

  • SMF12 Chair of the Remuneration Committee (16 Dec 2022 to 9 May 2024)
  • SMF13 Chair of the Nominations Committee (16 Dec 2022 to 9 May 2024)
• Julie Mary Baxter

  IRN JXB00955

  • [FCA CF] Significant management (24 Sep 2025 to 27 Feb 2026)
• Kathryn Elizabeth Purves

  IRN KXP01420

  • SMF14 Senior Independent Director (25 Oct 2022 to 7 Jun 2024)
  • SMF10 Chair of the Risk Committee (17 Jun 2022 to 7 Jun 2024)
  • Director of firm who is not a certification employee or a SMF manager (23 Aug 2021 to 17 Jun 2022)

No changes recorded yet.