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.

• Martin Botha

  IRN MXB02409

  • [FCA CF] Material risk taker (28 Feb 2022 to 13 Jun 2023)
  • [FCA CF] Significant management (10 May 2021 to 13 Jun 2023)
• Martin Gregg Drennan

  IRN MGD01043

  • [FCA CF] Manager of certification employee (28 Feb 2022 to 24 Nov 2023)
  • [FCA CF] Client dealing (8 Mar 2021 to 24 Nov 2023)
• Matteo Charles Colombo

  IRN MCC01094

  • CF2 Non Executive Director (1 Aug 2016 to 4 Jul 2019)
• Matthew Kirsch

  IRN MXK02860

  • [FCA CF] Material risk taker (since 23 Apr 2026)
  • [FCA CF] Manager of certification employee (since 27 Jan 2026)
  • [FCA CF] Client dealing (since 1 Jul 2022)
• Matthieu Baudrand

  IRN MGB01113

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Sep 2021)
  • CF30 Customer (14 Oct 2019 to 8 Dec 2019)
• Megan Hannah Gore-Randall

  IRN MHG01062

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 2 Sep 2025)
  • CF2 Non Executive Director (1 Aug 2016 to 8 Dec 2019)
• Michele Baldessarini

  IRN MXB02195

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2021)
  • CF30 Customer (27 Oct 2016 to 8 Dec 2019)
• Niamh Marie Whooley

  IRN NMW01049

  • [FCA CF] Client dealing (since 4 Aug 2023)
• Nicola Daly

  IRN NXD00335

  • Director of firm who is not a certification employee or a SMF manager (since 30 Jul 2025)
• Nicole Jayne Gates

  IRN NJG01076

  • [FCA CF] Manager of certification employee (27 Feb 2024 to 28 Jan 2026)
  • [FCA CF] Material risk taker (28 Feb 2022 to 28 Jan 2026)
  • CF1 Director (AR) (1 Jun 2021 to 13 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Jan 2026)
  • SMF27 Partner (9 Dec 2019 to 27 Jan 2026)
  • CF4 Partner (15 Nov 2016 to 8 Dec 2019)
  • CF30 Customer (15 Nov 2016 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.