Pemberton Capital Advisors LLP

• Principal Place of Business

  5 Howick Place

  London

  SW1P 1WG

  UNITED KINGDOM

  Phone

  +442079939300

  Web

  https://www.pembertonam.com

• Complaints Contact

  5 Howick Place

  London

  SW1P 1WG

  UNITED KINGDOM

  Phone

  +442079939300

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, 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, 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, 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, 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, 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, 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, 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.

• Investment Setup

  For Eligible Counterparty, Professional, 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, 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, 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, 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.

• Robert Wartchow

  IRN RAW01175

  • [FCA CF] Material risk taker (since 26 Mar 2025)
  • [FCA CF] Manager of certification employee (since 28 Feb 2022)
  • [FCA CF] Client dealing (since 25 Feb 2021)
• Robin Edward Challis

  IRN REC01101

  • [FCA CF] Material risk taker (since 26 Mar 2025)
  • [FCA CF] Manager of certification employee (since 19 Feb 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (29 Dec 2016 to 9 Dec 2019)
  • CF30 Customer (29 Dec 2016 to 8 Dec 2019)
• Robin John Bailey

  IRN RJB01463

  • SMF27 Partner (since 28 Mar 2026)
  • [FCA CF] Material risk taker (since 12 Dec 2025)
  • [FCA CF] Manager of certification employee (since 12 Dec 2025)
• Sachin Sharad Anandikar

  IRN SXA00434

  • [FCA CF] Manager of certification employee (since 3 Feb 2026)
  • [FCA CF] Material risk taker (since 23 Jun 2025)
  • [FCA CF] Client dealing (17 Aug 2021 to 14 Sep 2022)
• Sarah Ann Whitehead

  IRN SAW01153

  • CF30 Customer (1 Oct 2013 to 29 Feb 2016)
• Sherilee Anne Mace Pearce

  IRN SAM01131

  • [FCA CF] Client dealing (since 17 Jul 2023)
• Shintaro Mori

  IRN SXM03860

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (2 Mar 2022 to 23 Feb 2024)
  • CF30 Customer (4 Dec 2017 to 8 Dec 2019)
• Shomick Dev Bhattacharya

  IRN SDB01069

  • [FCA CF] Client dealing (since 29 Apr 2025)
  • [FCA CF] Manager of certification employee (since 29 Apr 2025)
• Steven Craig

  IRN SXC01929

  • [FCA CF] Client dealing (since 25 Feb 2021)
• Symon Roderick Drake-Brockman

  IRN SRD01048

  • [FCA CF] Material risk taker (since 28 Feb 2022)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
  • CF4 Partner (1 Oct 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Oct 2013 to 23 Oct 2015)

• Pemberton Operational Services UK Limited

  FRN 835810 · Appointed 8 Mar 2019

• Tostock Capital Ltd (no longer appointed)

  FRN 911491 · Appointed 22 Jul 2019 · Until 17 Jan 2020 · Tied agent

• TMT Asset Management Limited (no longer appointed)

  FRN 630974 · Appointed 28 Aug 2014 · Until 25 Nov 2014

• P Sullivan & Sons Limited (no longer appointed)

  FRN 613212 · Appointed 15 Jan 2014 · Until 23 Jun 2014

No changes recorded yet.