Principal Real Estate Limited

• Principal Place of Business

  5th Floor, 1 Aldermanbury Square

  London

  City Of London

  EC2V 7HR

  UNITED KINGDOM

  Phone

  +442077100220

  Web

  http://www.principalam.com

• Complaints Contact

  5th Floor, 1 Aldermanbury Square

  London

  City Of London

  EC2V 7HR

  UNITED KINGDOM

  Phone

  +4402077100220

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), 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), Rolling spot forex contract, 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.

• 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 Commercial, 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), Government and public security, Non-investment insurance contracts, 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), Rolling spot forex contract, 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.

• Arranges Asset Safekeeping

  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), 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), Rolling spot forex contract, 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.

• Stockbroking

  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), 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), Rolling spot forex contract, 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.

• Runs Investment Funds

• Investment Setup

  For Commercial, 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), Government and public security, Non-investment insurance contracts, 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), Rolling spot forex contract, 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.

• Private Investment Funds

• Manages Your Portfolio

  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), 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), Rolling spot forex contract, 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.

• Andrew David Thornton

  IRN ADT01042

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 Jun 2024)
  • Responsible for Insurance Mediation (17 Nov 2011 to 30 Sep 2018)
  • CF30 Customer (17 Nov 2011 to 8 Dec 2019)
  • CF1 Director (17 Nov 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Nov 2011 to 6 Jun 2017)
• Andrew Ellis Baum

  IRN AEB01074

  • CF30 Customer (17 Nov 2011 to 23 Apr 2018)
• Andrew Taylor

  IRN AXT01687

  • CF30 Customer (24 Aug 2015 to 11 Jan 2017)
• Charles William Rasche

  IRN CWR01026

  • CF30 Customer (17 Nov 2011 to 23 Apr 2018)
• Christopher Game

  IRN CXG00444

  • [FCA CF] Client dealing (since 26 Mar 2023)
  • [FCA CF] Material risk taker (since 26 Mar 2023)
• Christopher James Curtis

  IRN CXC00317

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2022)
• Daniel Benjamin Silverman

  IRN DXS02861

  • SMF3 Executive Director (since 12 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Jul 2022)
  • SMF16 Compliance Oversight (since 12 Jul 2022)
  • SMF9 Chair of the Governing Body (since 12 Jul 2022)
• Daniel Tomaselli

  IRN DXT00381

  • [FCA CF] Material risk taker (since 1 Nov 2024)
  • [FCA CF] Client dealing (since 1 Nov 2024)
• Danielle Rebecca Johnston

  IRN DXJ00237

  • SMF3 Executive Director (since 1 Nov 2024)
  • Director of firm who is not a certification employee or a SMF manager (11 Oct 2023 to 31 Oct 2024)
• Devaki Perera

  IRN DXP01610

  • [FCA CF] Material risk taker (since 26 Mar 2022)

• Paradigm Change Capital Partners (no longer appointed)

  FRN 524042 · Appointed 14 Jun 2012 · Until 8 Aug 2016

No changes recorded yet.