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

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  • · 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

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

• John Marchant Gearey

  IRN JMG01114

  • CF13 Finance (13 Nov 2002 to 1 Feb 2006)
• Jon Matthew Mitchel

  IRN JMM01193

  • CF4 Partner (13 Nov 2002 to 1 Aug 2005)
• Jonathan Andrew Hammond

  IRN JXH01009

  • SMF18 Other Overall Responsibility (since 16 Feb 2026)
  • [FCA CF] Material risk taker (since 1 Jul 2025)
• Jonathan David Horgan

  IRN JDH01145

  • CF30 Customer (17 Jan 2011 to 5 Jan 2012)
• Jonathon Chivers

  IRN JXC00636

  • [FCA CF] Material risk taker (1 Mar 2021 to 7 Jan 2022)
• Joseph Arthur Adams

  IRN JXA00261

  • [FCA CF] Client dealing (since 1 Mar 2021)
• Joseph William Nathaniel Smith

  IRN JXS04022

  • Director of firm who is not a certification employee or a SMF manager (22 Apr 2025 to 13 Nov 2025)
  • SMF3 Executive Director (4 Oct 2024 to 22 Apr 2025)
• Julia Louise Cornford

  IRN JLC01083

  • CF4 Partner (13 Nov 2002 to 1 Jul 2005)
• Kanwaljeet Singh Tak

  IRN KST01006

  • [FCA CF] Client dealing (since 26 Sep 2025)
  • [FCA CF] Functions requiring qualifications (17 Jul 2023 to 26 Sep 2025)
• Kerry Peacock

  IRN KXP01436

  • CF2 Non Executive Director (3 Sep 2012 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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