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.

• Bartholomeus Gerardus Joannes Ras

  IRN BXR00116

  • [FCA CF] Manager of certification employee (24 Aug 2022 to 13 Jun 2023)
  • [FCA CF] Client dealing (17 Aug 2021 to 13 Jun 2023)
• Ben Warren Gulliver

  IRN BWG01008

  • [FCA CF] Material risk taker (since 28 Feb 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (26 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (26 Sep 2016 to 8 Dec 2019)
• Carsten Guenther

  IRN CXG00593

  • [FCA CF] Client dealing (14 Mar 2025 to 18 Aug 2025)
• Cassandra Fahy

  IRN CXR01514

  • [FCA CF] Manager of certification employee (since 10 Feb 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
• Charlotte Lindy Louise Rogers

  IRN CLR01028

  • CF30 Customer (15 Mar 2016 to 10 May 2018)
• Chekib Younes Choukri Mentouri

  IRN CXM00730

  • [FCA CF] Client dealing (8 Aug 2022 to 10 Oct 2025)
• Christopher Bernard Higgins

  IRN CBH01012

  • CF4 Partner (5 Sep 2014 to 31 Mar 2018)
  • CF10 Compliance Oversight (1 Oct 2013 to 23 Oct 2015)
  • CF30 Customer (1 Oct 2013 to 31 Mar 2018)
• Christopher James Ellerker

  IRN CJE01072

  • [FCA CF] Material risk taker (since 23 Apr 2026)
  • [FCA CF] Manager of certification employee (since 3 Feb 2026)
  • [FCA CF] Client dealing (since 19 Dec 2023)
• Cian Moynihan

  IRN CXM01048

  • [FCA CF] Client dealing (12 Apr 2024 to 28 Feb 2025)
• Colin Patrick Taheny

  IRN CXT00375

  • CF1 Director (AR) (since 1 Dec 2022)

• 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.