PGIM Private Capital Limited

Date authorised
1 April 2013
Companies House
01331817
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 2 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).

  • 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
    • · 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
    • · 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).

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Terence Wong

    IRN TXW01123

    • CF1 Director (1 Dec 2001 to 29 Nov 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 29 Nov 2002)
  • Thomas Krausser

    IRN TXK01229

    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF16 Significant Mgt (Desgntd Investment Business) (10 Jan 2007 to 31 Oct 2007)
  • Thomas Patrick Hackett

    IRN TPH01037

    • CF1 Director (29 Oct 2003 to 17 Jun 2005)
    • CF21 Investment Adviser (16 Jul 2003 to 17 Jun 2005)
  • Tolgar Sirvanci

    IRN TXS01452

    • [FCA CF] Client dealing (since 1 Jul 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (20 Sep 2011 to 8 Dec 2019)
    • CF1 Director (29 Oct 2007 to 8 Dec 2019)
  • William Christopher Pappas

    IRN WCP01010

    • CF30 Customer (17 Jun 2013 to 8 Dec 2019)
  • William Neil Bentley

    IRN WNB01006

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jun 2003)

Recent activity

Updates to this firm's record on the FCA register.

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