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.

• Paul Thomas Brophy

  IRN PTB01042

  • [FCA CF] Client dealing (since 2 Jan 2024)
  • CF30 Customer (4 Mar 2014 to 11 Aug 2017)
• Peter David Christmas

  IRN PDC01072

  • CF29 Significant management (1 Nov 2007 to 28 Jun 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (16 May 2005 to 31 Oct 2007)
• Peter Hans Oellers

  IRN PHO01016

  • CF26 Customer Trading (6 Dec 2004 to 5 Oct 2005)
• Peter Michael Kiernan

  IRN PMK01055

  • CF10 Compliance Oversight (12 Oct 2011 to 13 Jan 2012)
• Peter Norman

  IRN PXN01082

  • SMF18 Other Overall Responsibility (9 Dec 2019 to 6 Apr 2021)
  • CF10a CASS Oversight function (18 Jul 2013 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 1 May 2018)
  • CF20 Significant Mgt (Settlements) (30 Oct 2003 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (30 Oct 2003 to 31 Oct 2007)
• Peter Thomas Stratton

  IRN PTS01033

  • [FCA CF] Client dealing (since 26 Nov 2020)
  • CF30 Customer (12 Mar 2010 to 8 Dec 2019)
• Philip Quentin Spyer

  IRN PQS01001

  • CF26 Customer Trading (1 Dec 2001 to 22 Oct 2004)
• Poppy Wilson

  IRN PXW00500

  • [FCA CF] Client dealing (12 Nov 2025 to 19 Feb 2026)
• Preeya Priscilla Raman Patel

  IRN PPP01011

  • [FCA CF] Client dealing (5 Jul 2024 to 24 Jul 2024)
• Rachel Rowland

  IRN RXR00490

  • [FCA CF] CASS oversight function (since 1 May 2025)

• Share Dealing Services Limited (no longer appointed)

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

No changes recorded yet.