Penta Capital LLP

Date authorised
1 April 2013
Companies House
SO302035
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1st Floor
    300 Bath Street
    Glasgow
    Lanarkshire
    G2 4JR
    UNITED KINGDOM
    Phone
    +4401415727300
    Web
    https://www.pentacapital.com

  • Complaints Contact

    1st Floor
    300 Bath Street
    Glasgow
    Lanarkshire
    G2 4JR
    UNITED KINGDOM
    Phone
    +4401415727300

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Holds Your Assets

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Michael Reto Willem Scherpenhuijsen Rom

    IRN MRS01090

    • CF4 Partner (4 Nov 2008 to 29 Jul 2009)
    • CF30 Customer (4 Nov 2008 to 29 Jul 2009)
  • Nicholas Robert Robinson

    IRN NRR01018

    • [FCA CF] Client dealing (9 Dec 2019 to 6 Sep 2021)
    • CF30 Customer (30 Jan 2018 to 8 Dec 2019)
  • Paul Cassidy

    IRN PXC01269

    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (4 Nov 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Nov 2008 to 8 Dec 2019)
    • CF4 Partner (4 Nov 2008 to 8 Dec 2019)
  • Robert Sutherland Morrish

    IRN RSM01093

    • [FCA CF] Client dealing (since 15 May 2023)
  • Steven Scott

    IRN SXS01275

    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (4 Nov 2008 to 8 Dec 2019)
    • CF3 Chief Executive (4 Nov 2008 to 2 Dec 2019)
    • CF4 Partner (4 Nov 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (4 Nov 2008 to 31 Mar 2009)
  • Stuart Robert Stephen Mills

    IRN SRM01159

    • [FCA CF] Client dealing (since 29 Mar 2023)
    • [FCA CF] Material risk taker (28 Mar 2023 to 29 Mar 2023)
  • Vaughn Clifton Barber

    IRN VCB01008

    • CF2 Non Executive Director (24 Apr 2009 to 19 Apr 2011)
  • William Mark Phillips

    IRN WMP01006

    • CF4 Partner (4 Nov 2008 to 30 Jun 2013)
    • CF8 Apportionment and Oversight (4 Nov 2008 to 31 Mar 2009)
    • CF3 Chief Executive (4 Nov 2008 to 30 Jun 2013)
    • CF30 Customer (4 Nov 2008 to 30 Jun 2013)
  • William Torquil MacNaughton

    IRN WTM01002

    • SMF27 Partner (since 9 Dec 2019)
    • CF3 Chief Executive (4 Nov 2008 to 2 Dec 2019)
    • CF30 Customer (4 Nov 2008 to 8 Dec 2019)
    • CF4 Partner (4 Nov 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (4 Nov 2008 to 31 Mar 2009)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.