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.

  • John Martin Donachie

    IRN JMD01290

    • CF30 Customer (20 Aug 2014 to 6 Oct 2016)
  • John Robert McClintock

    IRN JRM01332

    • CF30 Customer (20 May 2016 to 8 Dec 2019)
  • Jonathan Michael Levay

    IRN JML01227

    • CF30 Customer (16 Oct 2014 to 26 Nov 2014)
  • Jonathan Spring

    IRN JXS02182

    • CF30 Customer (6 Dec 2007 to 14 Sep 2012)
  • Josef Blazicek

    IRN JXB01449

    • CF1 Director (1 Dec 2001 to 4 Apr 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2005)
    • CF3 Chief Executive (1 Dec 2001 to 4 Apr 2003)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 4 Apr 2003)
  • Julie Rotniemer-Benker

    IRN JXR01617

    • CF22 Investment Adviser (Trainee) (28 Jul 2006 to 24 Nov 2006)
  • Justin Alexander Tooth

    IRN JAT01090

    • CF30 Customer (10 Sep 2009 to 12 Dec 2014)
  • KATIE WOODGATE

    IRN KXW06347

    • SMF16 Compliance Oversight (since 27 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jan 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Jan 2022)
    • CF11 Money Laundering Reporting (19 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (31 Oct 2018 to 8 Dec 2019)
  • MARIANNE MUSAEUS VAZQUEZ

    IRN MMV01028

    • SMF1 Chief Executive (15 Dec 2020 to 30 Jun 2024)
    • SMF3 Executive Director (15 Dec 2020 to 30 Jun 2024)
    • CF11 Money Laundering Reporting (8 Apr 2016 to 17 Sep 2018)
    • CF30 Customer (8 Apr 2016 to 17 Sep 2018)
    • CF1 Director (8 Apr 2016 to 17 Sep 2018)
    • CF10 Compliance Oversight (8 Apr 2016 to 17 Sep 2018)
  • Magnus Lysholm Lian

    IRN MXL00621

    • [FCA CF] Client dealing (since 7 Aug 2023)
Show more

Recent activity

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

No changes recorded yet.