Platform Securities LLP

• Principal Place of Business

  Tricorn House

  51-53 Hagley Road

  Edgbaston

  Birmingham

  West Midlands

  B16 8TP

  UNITED KINGDOM

  Phone

  +4401212330336

  Web

  https://www.platformsecurities.com

• Complaints Contact

  Tricorn House

  51-53 Hagley Road

  Edgbaston

  Birmingham

  West Midlands

  B16 8TP

  UNITED KINGDOM

  Phone

  +4401212330336

• 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, Retail (Investment), 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), 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), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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), 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), 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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), 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), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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), 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), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Trading Platform

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

  Show 1 limitation Hide limitations

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

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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), 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), 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Bruce William Jennings

  IRN BWJ01015

  • CF2 Non Executive Director (20 May 2014 to 8 Dec 2019)
• Caroline Jane Ashton

  IRN CJB01192

  • CF2 Non Executive Director (23 Nov 2009 to 1 Mar 2012)
• Charles Andrew Smith

  IRN CAS01183

  • CF2 Non Executive Director (25 Aug 2011 to 31 Aug 2013)
• Cheryl Anne Heather

  IRN CXH00191

  • SMF12 Chair of the Remuneration Committee (since 4 Apr 2025)
  • Director of firm who is not a certification employee or a SMF manager (1 Mar 2021 to 4 Apr 2025)
• Christopher Briden Hodgins

  IRN CBH01023

  • CF4 Partner (20 Aug 2003 to 1 Aug 2005)
• Christopher John Draysey

  IRN CJD01069

  • CF30 Customer (1 Nov 2007 to 17 Nov 2010)
  • CF4 Partner (13 Nov 2002 to 1 Feb 2006)
  • CF21 Investment Adviser (13 Nov 2002 to 31 Oct 2007)
• Christopher Paul Brewer

  IRN CPB01106

  • CF30 Customer (31 Jan 2013 to 27 May 2014)
• Claire Jane Mackintosh

  IRN CJM01435

  • CF2 Non Executive Director (1 Aug 2014 to 18 Jan 2016)
• Clare Yardley

  IRN CXS01829

  • CF30 Customer (19 May 2011 to 31 Aug 2013)
• Craig Thomas Swain

  IRN CTS01024

  • [FCA CF] Material risk taker (1 Mar 2021 to 24 Jun 2022)

• Havelock Hunter Stockbrokers Ltd (no longer appointed)

  FRN 400130 · Appointed 15 Apr 2004 · Until 31 Oct 2006

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