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.

• Paul Gerard Price

  IRN PGP01035

  • CF30 Customer (1 Oct 2012 to 9 Aug 2017)
• Paul Michael King

  IRN PMK01052

  • [FCA CF] Material risk taker (since 30 Mar 2022)
  • [FCA CF] Significant management (since 30 Mar 2022)
  • CF29 Significant management (4 Jun 2010 to 9 Mar 2011)
• Paul Richard Dennis-Jones

  IRN PRD01081

  • [FCA CF] Client dealing (1 Jul 2020 to 31 Aug 2022)
  • [FCA CF] Significant management (1 Jul 2020 to 30 Jun 2021)
  • [FCA CF] Material risk taker (1 Jul 2020 to 30 Jun 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Mar 2022)
  • Responsible for Insurance Mediation (2 Sep 2015 to 30 Sep 2018)
  • CF29 Significant management (2 Sep 2015 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2009 to 8 Dec 2019)
• Peter Anthony Hayes

  IRN PAH01307

  • [FCA CF] Significant management (1 Jul 2020 to 1 Jul 2025)
  • CF29 Significant management (26 Jun 2017 to 8 Dec 2019)
• Peter Douglas Allan

  IRN PDA01042

  • [FCA CF] Material risk taker (since 6 Apr 2021)
  • CF30 Customer (7 Jan 2011 to 4 Sep 2017)
• Peter Gervase Spencer

  IRN PGS01041

  • CF11 Money Laundering Reporting (1 Dec 2001 to 13 Mar 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 13 Mar 2003)
• Peter James Gibson

  IRN PJG01256

  • [FCA CF] Client dealing (since 13 Dec 2023)
• Peter John Coman

  IRN PJC01148

  • CF27 Investment Management (1 Dec 2001 to 30 Apr 2003)
• Peter Laurence Clark

  IRN PLC01036

  • [FCA CF] Client dealing (since 1 Jul 2020)
  • CF30 Customer (24 Oct 2017 to 8 Dec 2019)
• Peter Robertson

  IRN PXR00458

  • [FCA CF] Client dealing (since 6 May 2025)

No changes recorded yet.