OMBA Advisory & Investments Limited

• Principal Place of Business

  Omba Advisory & Investments Ltd

  Cargo Works Business Centre 1-2

  Hatfields

  London

  Southwark

  SE1 9PG

  UNITED KINGDOM

  Phone

  +442031768400

  Web

  https://www.ombainvestments.com

• Complaints Contact

  Omba Advisory & Investments Ltd

  Cargo Works Business Centre 1-2

  Hatfields

  London

  Southwark

  SE1 9PG

  UNITED KINGDOM

  Phone

  +442031768400

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 2 limitations 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · The firm may not carry out the investment activities of Binary Options, Spreadbets or Contracts for Difference (CFD) including Rolling Spot Forex with retail clients
  • · 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.
  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Authorised to Operate

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · The firm may not carry out the investment activities of Binary Options, Spreadbets or Contracts for Difference (CFD) including Rolling Spot Forex with retail clients
  • · 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.
  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · The firm may not carry out the investment activities of Binary Options, Spreadbets or Contracts for Difference (CFD) including Rolling Spot Forex with retail clients
  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Stockbroking

  For Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · The firm may not carry out the investment activities of Binary Options, Spreadbets or Contracts for Difference (CFD) including Rolling Spot Forex with retail clients

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · The firm may not carry out the investment activities of Binary Options, Spreadbets or Contracts for Difference (CFD) including Rolling Spot Forex with retail clients
  • · 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.
  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Manages Your Portfolio

  For Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · The firm may not carry out the investment activities of Binary Options, Spreadbets or Contracts for Difference (CFD) including Rolling Spot Forex with retail clients
  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Andre Roux

  IRN AXR11458

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 7 Apr 2024)
  • CF2 Non Executive Director (1 Apr 2019 to 8 Dec 2019)
• Andrew Scott Limberis

  IRN ASL01097

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF3 Executive Director (since 10 Jan 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (4 Jan 2018 to 8 Dec 2019)
• David Pierson

  IRN DXP00253

  • [FCA CF] Significant management (9 Dec 2019 to 28 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Mar 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 Mar 2023)
• David Victor James Pierson

  IRN DVP01023

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (15 Sep 2017 to 8 Dec 2019)
• Garry G.P. Herbert

  IRN GGH01017

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jun 2021)
  • CF30 Customer (24 Oct 2019 to 8 Dec 2019)
• Graeme Barry Tarr

  IRN GBT01024

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Mar 2023)
  • Responsible for Insurance Distribution (since 2 Mar 2023)
  • [FCA CF] Client dealing (since 1 Sep 2022)
• Mark Werner Perchtold

  IRN MWP01070

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (15 Sep 2017 to 8 Dec 2019)
  • CF30 Customer (15 Sep 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Sep 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Sep 2017 to 8 Dec 2019)
• Michail Stathopoulos

  IRN MXS01272

  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2025)
  • [FCA CF] Client dealing (since 28 Mar 2023)
• Natalie Speed-Andrews

  IRN NXS00771

  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2025)
• Nicholas Cutler

  IRN NXC00176

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2022)

No changes recorded yet.