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.

• Anders Christian Roos

  IRN CAR01115

  • CF27 Investment Management (3 Aug 2006 to 13 Sep 2007)
  • CF26 Customer Trading (20 Jan 2006 to 3 Aug 2006)
• Andre Charles Henri Klotz

  IRN ACK01026

  • [FCA CF] Client dealing (since 26 Mar 2026)
• Andrea Mercedes Ploeg

  IRN AMP01231

  • CF30 Customer (11 Jan 2016 to 30 Jul 2018)
• Andrew Charles Louis Dyson

  IRN ACD01030

  • [FCA CF] Client dealing (1 Jul 2020 to 30 Mar 2022)
  • CF29 Significant management (1 Feb 2018 to 8 Dec 2019)
  • CF30 Customer (1 Feb 2018 to 8 Dec 2019)
• Andrew David John Moffat

  IRN ADM01163

  • CF30 Customer (20 Aug 2012 to 19 May 2015)
• Andrew Henryk Radkiewicz

  IRN AHR01023

  • [FCA CF] Client dealing (since 1 Jul 2020)
  • CF29 Significant management (2 Sep 2015 to 8 Dec 2019)
  • CF1 Director (1 May 2013 to 9 Jun 2015)
  • CF30 Customer (23 Mar 2009 to 8 Dec 2019)
• Andrew John Shearer Macland

  IRN AJM01568

  • CF1 Director (1 Sep 2015 to 16 Oct 2019)
  • CF30 Customer (23 Mar 2009 to 8 Dec 2019)
• Andrew Peter Grigson

  IRN APG01095

  • [FCA CF] Client dealing (since 1 Jul 2020)
  • CF30 Customer (1 Sep 2009 to 8 Dec 2019)
• Angela Mossie Happell

  IRN AXH03197

  • CF30 Customer (13 Jun 2018 to 18 Jul 2019)
• Annemarie Manning

  IRN AXM02956

  • CF30 Customer (16 Dec 2013 to 22 Sep 2015)

No changes recorded yet.