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.

• Graeme John Dell

  IRN GJD00048

  • CF1 Director (AR) (9 Nov 2022 to 31 Jul 2023)
  • SMF27 Partner (9 May 2022 to 31 Jul 2023)
  • [FCA CF] Material risk taker (28 Feb 2022 to 31 Jul 2023)
  • [FCA CF] Client dealing (4 Aug 2021 to 31 Jul 2023)
• Guy Henry Upton Brooks

  IRN GXB00326

  • [FCA CF] Client dealing (since 20 Aug 2021)
  • [FCA CF] Manager of certification employee (20 Aug 2021 to 11 Mar 2025)
• Harriet Anne Polturak

  IRN HAS01047

  • SMF27 Partner (14 Jun 2023 to 19 Sep 2024)
  • [FCA CF] Client dealing (3 Apr 2023 to 19 Sep 2024)
  • [FCA CF] Manager of certification employee (3 Apr 2023 to 19 Sep 2024)
  • [FCA CF] Material risk taker (3 Apr 2023 to 19 Sep 2024)
• Helen Jane Richards

  IRN HJR01033

  • [FCA CF] Material risk taker (28 Feb 2022 to 24 Jul 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Jul 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2024)
  • CF11 Money Laundering Reporting (23 Oct 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Oct 2015 to 8 Dec 2019)
  • CF4 Partner (23 Oct 2015 to 5 Dec 2018)
• Holger Beyer

  IRN HXB01190

  • CF30 Customer (6 Sep 2017 to 5 Dec 2018)
• Inga Scharpenack

  IRN IXS01321

  • [FCA CF] Client dealing (since 23 May 2024)
• James Bradstock

  IRN JXB03764

  • [FCA CF] Client dealing (since 12 Apr 2024)
• James David Edward Ankerson

  IRN JDA01051

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Nov 2016 to 8 Dec 2019)
• James Michael Anderson

  IRN JMA01215

  • CF30 Customer (22 Sep 2015 to 5 Jul 2018)
  • CF4 Partner (22 Sep 2015 to 5 Jul 2018)
• James Paul Taylor

  IRN JXT00516

  • [FCA CF] Manager of certification employee (since 24 Feb 2025)
  • [FCA CF] Client dealing (since 8 Oct 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.