Optiva Securities Limited

• Principal Place of Business

  Bakers Hall

  7 Harp Lane

  London

  EC3R 6DP

  UNITED KINGDOM

  Phone

  +442039814173

  Web

  https://www.optivasecurities.com

• Complaints Contact

  Bakers Hall

  7 Harp Lane

  London

  EC3R 6DP

  UNITED KINGDOM

  Phone

  +442039814173

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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

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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, Retail (Investment), Certificates representing certain security, 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

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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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Retail (Investment), 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, 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

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

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Share, Warrant

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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

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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, Retail (Investment), Certificates representing certain security, 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 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.

• James Richard Keen

  IRN JRK01088

  • [FCA CF] Client dealing (since 18 Aug 2025)
• Jason Mark Robertson

  IRN JMR01224

  • CF30 Customer (29 Sep 2009 to 30 Sep 2013)
• Jeremy Edward Stuart King

  IRN JEK01028

  • [FCA CF] Client dealing (9 Dec 2020 to 3 Aug 2022)
  • [FCA CF] Material risk taker (9 Dec 2020 to 3 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 18 Apr 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Apr 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Apr 2022)
  • CF11 Money Laundering Reporting (1 May 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 May 2008 to 8 Dec 2019)
  • CF1 Director (5 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (5 Nov 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (5 Nov 2007 to 31 Oct 2007)
  • CF13 Finance (5 Nov 2007 to 31 Oct 2007)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
• Jessica Statham

  IRN JXS00626

  • [FCA CF] Client dealing (9 Dec 2020 to 25 Feb 2022)
• John William Readings

  IRN JWR01068

  • [FCA CF] Client dealing (since 21 May 2025)
• Jonathan Brown

  IRN JXB01567

  • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
• Jonathan Hollis

  IRN JXH00589

  • [FCA CF] Client dealing (9 Dec 2020 to 17 Jan 2024)
• Keith Robert Michael Swann

  IRN KRS01051

  • CF30 Customer (12 Aug 2019 to 1 Nov 2019)
• Kurt Portmann

  IRN KXP01104

  • CF2 Non Executive Director (16 Feb 2018 to 21 Aug 2018)
  • CF30 Customer (1 Nov 2007 to 16 Feb 2018)
  • CF1 Director (1 Dec 2001 to 14 Mar 2017)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 May 2008)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 May 2008)
• Madeleine Marina Cheary

  IRN MXC00569

  • [FCA CF] Client dealing (1 Jun 2021 to 18 Jan 2024)

No changes recorded yet.