Pareto Securities Limited

Date authorised
1 April 2013
Companies House
03994976
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Pareto Securities Ltd
    11 Berkeley Street
    London
    Westminster
    W1J 8DS
    UNITED KINGDOM
    Phone
    +4402077864370
    Web
    https://www.paretosec.com

  • Complaints Contact

    Pareto Securities Ltd
    11 Berkeley Street
    London
    Westminster
    W1J 8DS
    UNITED KINGDOM
    Phone
    +4402077864374

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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), Share, Unit, Warrant

    Show 2 limitations
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · 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), Share, Unit, Warrant

    Show 2 limitations
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · 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, Commodity Future, Commodity option and option on commodity future, 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

    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), Share, Unit, Warrant

    Show 2 limitations
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · 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.

  • Gerald Horhan

    IRN GXH01242

    • CF21 Investment Adviser (1 Dec 2001 to 14 Mar 2003)
  • Gerhard Auer

    IRN GXA01069

    • CF13 Finance (1 Dec 2001 to 3 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2005)
    • CF10 Compliance Oversight (1 Dec 2001 to 3 Nov 2003)
    • CF1 Director (1 Dec 2001 to 3 Nov 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 3 Nov 2003)
  • Guy Callingham Wilkes

    IRN GCW01018

    • CF30 Customer (1 Nov 2007 to 29 Feb 2016)
    • CF1 Director (11 Feb 2003 to 29 Feb 2016)
    • CF3 Chief Executive (11 Feb 2003 to 4 Jan 2016)
    • CF8 Apportionment and Oversight (11 Feb 2003 to 31 Oct 2007)
    • CF26 Customer Trading (14 Jan 2002 to 24 Aug 2005)
    • CF21 Investment Adviser (14 Jan 2002 to 31 Oct 2007)
  • Heinrich Polsterer

    IRN HXP01069

    • CF21 Investment Adviser (1 Dec 2001 to 7 May 2004)
  • Inge Edvardsen

    IRN IXE00044

    • SMF3 Executive Director (since 10 Apr 2024)
  • Ingrid Helsingeng

    IRN IXH01337

    • CF30 Customer (18 Aug 2014 to 23 Mar 2016)
  • Jack Garman

    IRN JXG02401

    • CF30 Customer (17 May 2018 to 8 Dec 2019)
  • James Thomas William McLucas

    IRN JTM01070

    • CF30 Customer (9 Apr 2008 to 8 Dec 2019)
  • Jeremy John Woodgate

    IRN JJW01095

    • CF30 Customer (22 Oct 2008 to 10 Feb 2015)
  • John Hendrik Van Eeghen

    IRN JHV01016

    • CF30 Customer (7 Nov 2007 to 11 Feb 2010)
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Recent activity

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

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