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.

• Pedro Bispo Franco Silva

  IRN PXS00398

  • [FCA CF] Manager of certification employee (24 Nov 2023 to 16 Dec 2024)
  • [FCA CF] Client dealing (24 Nov 2023 to 16 Dec 2024)
• Peter Schlesinger

  IRN PXS00735

  • [FCA CF] Client dealing (since 1 Dec 2023)
• Peter Ullmann

  IRN PXU00025

  • [FCA CF] Client dealing (since 22 Jan 2026)
• Philip Best

  IRN PWB01061

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2025)
  • SMF16 Compliance Oversight (since 1 Nov 2024)
  • [FCA CF] Material risk taker (since 7 Oct 2024)
• Philip James Ashdown

  IRN PJA01064

  • CF4 Partner (15 Dec 2017 to 9 Dec 2019)
  • CF30 Customer (15 Dec 2017 to 8 Dec 2019)
• Piotr Lewicki

  IRN PKL01021

  • [FCA CF] Client dealing (since 23 Jun 2025)
• Rajan Chandolia

  IRN RXC71938

  • [FCA CF] Client dealing (since 21 Dec 2021)
• Ralph Klaus Hora

  IRN RKH01038

  • CF30 Customer (20 Jan 2017 to 8 Dec 2019)
• Richard Maurice Meehan

  IRN RMM01179

  • [FCA CF] Manager of certification employee (since 18 Feb 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (16 Sep 2019 to 8 Dec 2019)
• Robert John Reynolds

  IRN RJR01111

  • [FCA CF] Material risk taker (since 26 Mar 2025)
  • [FCA CF] Manager of certification employee (since 23 Feb 2024)
  • [FCA CF] Client dealing (since 21 Feb 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.