NUVAMA FINANCIAL SERVICES (UK) LIMITED

Date authorised
10 October 2016
Companies House
09752231
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    23 Harcourt Street
    2nd Floor
    London
    Westminster
    W1H 4HJ
    UNITED KINGDOM
    Phone
    +442074694019

  • Complaints Contact

    23 Harcourt Street
    London
    Westminster
    W1H 4HJ
    UNITED KINGDOM
    Phone
    +442074694019

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ajay Marwaha

    IRN AXM04699

    • [FCA CF] Client dealing (since 5 Mar 2021)
  • Ranganathan Purushothaman

    IRN RXP01671

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (10 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (10 Oct 2016 to 8 Dec 2019)
  • Richard Eric Bowmar York

    IRN REY01001

    • CF30 Customer (10 Oct 2016 to 12 Oct 2018)
    • CF11 Money Laundering Reporting (10 Oct 2016 to 12 Oct 2018)
    • CF10 Compliance Oversight (10 Oct 2016 to 12 Oct 2018)
  • Rutesh Durve

    IRN RXD11759

    • [FCA CF] Client dealing (since 5 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (27 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (27 Feb 2019 to 8 Dec 2019)
    • CF1 Director (27 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Feb 2019 to 8 Dec 2019)
  • Sunil Kumar Goel

    IRN SXG01209

    • CF11 Money Laundering Reporting (30 Oct 2018 to 16 Feb 2019)
    • CF10 Compliance Oversight (30 Oct 2018 to 16 Feb 2019)
    • CF30 Customer (10 Oct 2016 to 16 Feb 2019)
    • CF1 Director (10 Oct 2016 to 16 Feb 2019)
    • CF3 Chief Executive (10 Oct 2016 to 16 Feb 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.