PERSHING SECURITIES LIMITED

• Principal Place of Business

  160 Queen Victoria Street

  London

  EC4V 4LA

  UNITED KINGDOM

  Phone

  +442071638000

  Web

  https://www.bny.com/pershing/emea/en.html

• Complaints Contact

  Royal Liver Building

  Pier Head

  Liverpool

  Merseyside

  L3 1LL

  UNITED KINGDOM

  Phone

  +442071638000

• 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, Retail (Investment), 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, Life Policy, 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

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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, Retail (Investment), 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, Life Policy, 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

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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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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

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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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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

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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.

• Consumer Loans

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Loan Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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

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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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Margaret Anne McPhail

  IRN MXM00039

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 1 Sep 2025)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 1 Sep 2025)
  • CF2 Non Executive Director (30 Aug 2016 to 8 Dec 2019)
• Marion Diane Radford

  IRN MDR01046

  • CF10 Compliance Oversight (7 Jun 2005 to 5 Feb 2009)
• Mark Honour

  IRN MXH00242

  • [FCA CF] Functions requiring qualifications (3 Sep 2020 to 21 Oct 2022)
• Martin Paul Hendry

  IRN MPH01130

  • [FCA CF] Material risk taker (since 2 Jul 2025)
  • [FCA CF] Client dealing (since 2 Jul 2025)
• Martinus Franciscus Johanna Heukshorst

  IRN MXH03127

  • SMF18 Other Overall Responsibility (9 Dec 2019 to 3 Feb 2023)
  • CF29 Significant management (20 Apr 2017 to 8 Dec 2019)
• Matthew John Orchard

  IRN MJO01173

  • [FCA CF] Client dealing (since 25 Jun 2025)
• Matthew Paul Short

  IRN MPS01074

  • [FCA CF] Client dealing (since 26 Nov 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (4 Dec 2004 to 31 Oct 2007)
• May-Ling Lam

  IRN MXL00128

  • [FCA CF] Material risk taker (20 Sep 2021 to 16 Feb 2023)
• Michael Cole-Fontayn

  IRN MXC01334

  • CF2 Non Executive Director (18 Nov 2011 to 29 Nov 2016)
• Michael Francis Horan

  IRN MFH01029

  • [FCA CF] Significant management (3 Sep 2020 to 15 Feb 2024)
  • [FCA CF] Material risk taker (3 Sep 2020 to 15 Feb 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (7 Feb 2005 to 31 Oct 2007)

• Share Dealing Services Limited (no longer appointed)

  FRN 205915 · Appointed 29 Dec 1998 · Until 18 Jul 2005

No changes recorded yet.