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

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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.

• 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.

• Francis La Salla

  IRN FJL01010

  • CF3 Chief Executive (27 Apr 2012 to 19 Feb 2013)
  • CF2 Non Executive Director (14 Aug 2003 to 19 Dec 2003)
  • CF1 Director (7 Jul 2003 to 14 Aug 2003)
• Gareth Davies

  IRN GXD00326

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 4 Jul 2024)
  • [FCA CF] Significant management (since 27 Jun 2023)
• Gary Karl Maplestone

  IRN GXM00141

  • SMF24 Chief Operations (11 Nov 2024 to 3 Jun 2025)
  • [FCA CF] Significant management (3 Sep 2020 to 13 Nov 2024)
  • [FCA CF] Material risk taker (3 Sep 2020 to 31 May 2023)
• Geoff Carpenter

  IRN GXC00244

  • [FCA CF] Material risk taker (26 Mar 2021 to 1 Aug 2023)
  • [FCA CF] Significant management (26 Mar 2021 to 1 Aug 2023)
• Geoffrey Charles Towers

  IRN GXT01262

  • SMF3 Executive Director (9 Dec 2019 to 28 May 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 28 May 2021)
  • CF1 Director (1 Dec 2015 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2015 to 8 Dec 2019)
• Geoffrey Clifford Walker

  IRN GCW01021

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 27 Feb 2004)
• Glenn Raymond Thorpe

  IRN GRT01062

  • Director of firm who is not a certification employee or a SMF manager (since 26 Jun 2025)
• Graham Ian Mason

  IRN GIM01017

  • CF28 Systems and controls (1 Nov 2007 to 6 Oct 2014)
  • CF15 Internal Audit (19 Dec 2006 to 31 Oct 2007)
• Graham John Cohen

  IRN GJC01162

  • CF1 Director (27 Apr 2012 to 31 Mar 2014)
  • CF28 Systems and controls (27 Apr 2012 to 31 Mar 2014)
• Graham Shallcross

  IRN GXS00124

  • [FCA CF] Material risk taker (3 Sep 2020 to 31 May 2023)

• Share Dealing Services Limited (no longer appointed)

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

No changes recorded yet.