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

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  • · 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.

• Harjinder Thatal

  IRN HXT00079

  • [FCA CF] Material risk taker (1 Mar 2021 to 11 Jan 2022)
  • [FCA CF] CASS oversight function (1 Mar 2021 to 11 Jan 2022)
• Helen Julie Macdonald

  IRN HJB01047

  • CF10 Compliance Oversight (4 Dec 2006 to 31 Dec 2009)
  • CF11 Money Laundering Reporting (24 Jan 2006 to 31 Dec 2009)
• Ian David Perrett

  IRN IDP01025

  • CF11 Money Laundering Reporting (31 Aug 2013 to 31 Oct 2018)
  • CF10 Compliance Oversight (14 Jan 2010 to 21 Jan 2013)
• Ian James McLeod

  IRN IJM01050

  • CF29 Significant management (31 Aug 2013 to 22 May 2018)
  • CF11 Money Laundering Reporting (13 Nov 2002 to 22 Dec 2005)
  • CF10 Compliance Oversight (13 Nov 2002 to 25 Aug 2004)
• Ian James Welch

  IRN IJW01065

  • SMF2 Chief Finance (20 Oct 2020 to 9 Aug 2021)
  • SMF3 Executive Director (20 Oct 2020 to 9 Aug 2021)
  • SMF5 Head of Internal Audit (20 Oct 2020 to 9 Aug 2021)
  • CF10a CASS Oversight function (31 Aug 2013 to 8 Dec 2019)
  • CF2 Non Executive Director (31 Aug 2013 to 8 Dec 2019)
  • CF28 Systems and controls (19 May 2011 to 31 Aug 2013)
• Ian Richard Haines

  IRN IRH01040

  • CF4 Partner (13 Nov 2002 to 1 Aug 2005)
• James Michael Havelock Andrews

  IRN JMA01086

  • CF21 Investment Adviser (19 Apr 2004 to 31 Oct 2006)
• Jason Keith Abrahams

  IRN JXA00375

  • [FCA CF] Material risk taker (17 Feb 2022 to 3 Oct 2022)
• Jason Mark Robinson

  IRN JMR00036

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 12 Jun 2024)
  • CF3 Chief Executive (31 Aug 2013 to 18 Apr 2016)
  • CF29 Significant management (16 Feb 2012 to 31 Aug 2013)
  • CF10a CASS Oversight function (1 Oct 2011 to 23 Mar 2012)
  • CF2 Non Executive Director (23 Nov 2009 to 30 Jul 2010)
• Jeffrey Albert Weston

  IRN JAW01153

  • CF30 Customer (22 Mar 2010 to 31 Aug 2013)

• Havelock Hunter Stockbrokers Ltd (no longer appointed)

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

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