PGIM Private Capital Limited

• Principal Place of Business

  Level 32

  8 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4402077662400

• Complaints Contact

  Level 32

  8 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4402077662400

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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), Share, Unit, Warrant

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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• 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, Certificates representing certain security, 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), 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), Share, Unit, Warrant

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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• John Michael Mulcahy

  IRN JXM01742

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2024)
  • SMF16 Compliance Oversight (since 24 May 2024)
• Jonathan Martin Austen

  IRN JMA01066

  • CF1 Director (29 Oct 2003 to 11 Jun 2004)
• Joshua James Shipley

  IRN JJS01131

  • [FCA CF] Client dealing (since 1 Nov 2020)
  • CF30 Customer (15 Sep 2011 to 8 Dec 2019)
• Kenneth Edward Warman III

  IRN KEW01035

  • CF13 Finance (29 Oct 2003 to 30 Jun 2004)
  • CF1 Director (29 Oct 2003 to 30 Jun 2004)
• Laszlo Grubits

  IRN LXG01061

  • CF21 Investment Adviser (1 Dec 2001 to 22 May 2002)
• Laura Anne Charles

  IRN LAC01103

  • [FCA CF] Client dealing (since 16 Jan 2025)
• Lauren Saperstein

  IRN LXS00693

  • [FCA CF] Client dealing (since 18 Oct 2024)
• Leo Karwejna

  IRN LXK01193

  • CF11 Money Laundering Reporting (26 Aug 2010 to 12 Jan 2011)
  • CF10 Compliance Oversight (26 Aug 2010 to 12 Jan 2011)
• Mallindi Jane Van Wyk

  IRN MJV01013

  • CF1 Director (26 Mar 2003 to 23 Oct 2003)
  • CF13 Finance (1 Dec 2001 to 23 Oct 2003)
• Marie Louise Fioramonti

  IRN MXF01324

  • [FCA CF] Client dealing (since 1 Jul 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (22 Sep 2011 to 8 Dec 2019)
  • CF3 Chief Executive (10 Aug 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (10 Aug 2005 to 31 Oct 2007)
  • CF1 Director (6 Jun 2003 to 8 Dec 2019)

No changes recorded yet.