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

  Show 1 limitation Hide limitations

  • · 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.

• Jun Narui

  IRN JXN00110

  • [FCA CF] Manager of certification employee (since 23 Feb 2024)
  • [FCA CF] Client dealing (since 25 Feb 2021)
• Jurian Jongbloed

  IRN JXJ01347

  • [FCA CF] Client dealing (25 Feb 2021 to 15 Oct 2021)
• Keith Jones

  IRN KXJ01057

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Oct 2013 to 8 Dec 2019)
• Laura Mason

  IRN CLM01124

  • Director of firm who is not a certification employee or a SMF manager (22 Feb 2021 to 5 Mar 2025)
  • CF2 Non Executive Director (2 Sep 2014 to 13 Sep 2016)
• Leo Such

  IRN LXS00759

  • [FCA CF] Client dealing (since 22 Apr 2026)
• Liam Tyce

  IRN LXT00274

  • [FCA CF] Client dealing (since 1 Dec 2023)
• Marcus Barnes

  IRN MXB02543

  • CF4 Partner (5 Sep 2014 to 9 Dec 2019)
  • CF30 Customer (16 May 2014 to 8 Dec 2019)
• Mark Jonathan Hickey

  IRN MJH01313

  • [FCA CF] Material risk taker (since 28 Feb 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF1 Director (AR) (19 Mar 2019 to 23 Dec 2022)
  • CF4 Partner (5 Sep 2014 to 8 Dec 2019)
  • CF30 Customer (14 Oct 2013 to 21 Jun 2023)
• Mark Philip Anthony Darell-Brown

  IRN MPD01070

  • [FCA CF] Manager of certification employee (13 Jul 2020 to 28 Feb 2022)
  • [FCA CF] Client dealing (1 Jan 2020 to 31 Jul 2024)
• Martha Cary Dudley Gibson

  IRN MCG01121

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Feb 2022)
  • CF30 Customer (25 Oct 2019 to 8 Dec 2019)

• 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.