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.

• Colin Williams

  IRN CXW01870

  • [FCA CF] Client dealing (26 Nov 2020 to 9 Mar 2023)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
• Connie Martin

  IRN CXM02230

  • [FCA CF] Material risk taker (since 20 May 2025)
• Cornelius Joseph De Groot

  IRN CXD00032

  • SMF7 Group Entity Senior Manager (since 10 Jul 2025)
• Craig Douglas Clifford

  IRN CXC00132

  • SMF3 Executive Director (since 24 Apr 2024)
  • SMF24 Chief Operations (since 24 Apr 2024)
  • [FCA CF] Material risk taker (16 Feb 2023 to 12 Sep 2024)
  • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2024)
  • [FCA CF] Manager of certification employee (3 Sep 2020 to 13 Jul 2022)
• Daniel James Basinger

  IRN DJB01270

  • CF26 Customer Trading (1 Dec 2001 to 2 Apr 2004)
• Danny White

  IRN DXW00098

  • [FCA CF] Functions requiring qualifications (3 Sep 2020 to 21 Oct 2022)
• David Alasdair Lewis

  IRN DAL01162

  • CF10a CASS Oversight function (1 Oct 2011 to 12 Jul 2013)
  • CF29 Significant management (1 Nov 2007 to 12 Jul 2013)
  • CF16 Significant Mgt (Desgntd Investment Business) (5 May 2006 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (5 May 2006 to 31 Oct 2007)
• David Cannon

  IRN DPC01074

  • CF26 Customer Trading (16 May 2005 to 11 Oct 2007)
• David Connolly

  IRN DXC01945

  • [FCA CF] Material risk taker (3 Sep 2020 to 31 May 2023)
  • [FCA CF] Significant management (3 Sep 2020 to 30 Sep 2024)
• David Hopkins

  IRN DXH01895

  • CF1 Director (29 Nov 2011 to 9 May 2014)

• Share Dealing Services Limited (no longer appointed)

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

No changes recorded yet.