PGIM LIMITED

• Principal Place of Business

  P G I M Ltd

  Grand Buildings 1-3

  Strand

  London

  Westminster

  WC2N 5HR

  UNITED KINGDOM

  Phone

  +4402077662400

  Web

  https://www.pgim.com

• Complaints Contact

  P G I M Ltd

  Grand Buildings 1-3

  Strand

  London

  Westminster

  WC2N 5HR

  UNITED KINGDOM

  Phone

  +4402077662400

• 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, Funeral plan contract, 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 2 limitations Hide limitations

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

• 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 Commercial, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Non-investment insurance contracts, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Funeral plan contract, 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 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.

• Insurance Admin

  For Commercial, Non-investment insurance contracts

• Stockbroking

  For Commercial, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Non-investment insurance contracts, 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 2 limitations Hide limitations

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

• Investment Setup

  For Commercial, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Non-investment insurance contracts, 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 2 limitations Hide limitations

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

• Manages Your Portfolio

  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, Funeral plan contract, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Jocelyn Laudet

  IRN JXL01536

  • CF30 Customer (1 Nov 2007 to 2 Jul 2008)
  • CF26 Customer Trading (8 Oct 2004 to 31 Oct 2007)
• Joel Allen Smith

  IRN JAS01449

  • CF1 Director (20 Jan 2010 to 23 Sep 2013)
• Johan Peter Arne Lindqvist

  IRN PJL01096

  • CF30 Customer (1 Nov 2007 to 21 Dec 2012)
  • CF27 Investment Management (1 Dec 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2006 to 31 Oct 2007)
• Johan Willem Ooms

  IRN JWO01014

  • CF30 Customer (1 Nov 2007 to 24 Jan 2011)
  • CF26 Customer Trading (23 Feb 2007 to 31 Oct 2007)
• John Gee-Grant

  IRN JXG02388

  • [FCA CF] Client dealing (1 Jul 2020 to 30 Mar 2022)
  • CF30 Customer (9 Feb 2018 to 8 Dec 2019)
• John Grey St Paul Burridge

  IRN JGB01068

  • [FCA CF] Client dealing (1 Jul 2020 to 30 Sep 2024)
  • CF30 Customer (21 Mar 2019 to 8 Dec 2019)
• Jonathan Martin Austen

  IRN JMA01066

  • CF13 Finance (1 Dec 2001 to 11 Jun 2004)
  • CF1 Director (1 Dec 2001 to 11 Jun 2004)
• Jonathan Michael Ryan

  IRN JMR01248

  • CF30 Customer (3 Dec 2012 to 16 Oct 2019)
• Jonathan Ottley Short

  IRN JOS01003

  • CF3 Chief Executive (1 Dec 2001 to 16 Mar 2007)
  • CF27 Investment Management (1 Dec 2001 to 16 Mar 2007)
  • CF1 Director (1 Dec 2001 to 16 Mar 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 16 Mar 2007)
• Jonathan Paul Butler

  IRN JPB01161

  • [FCA CF] Material risk taker (since 1 Jul 2020)
  • [FCA CF] Client dealing (since 1 Jul 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (30 Mar 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Aug 2005 to 31 Oct 2007)
  • CF27 Investment Management (1 Aug 2005 to 31 Oct 2007)

No changes recorded yet.