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.

• Dima Rifai

  IRN DXR01208

  • CF30 Customer (17 Nov 2011 to 17 Jan 2017)
• Frances Meredith Heeney

  IRN FXH00175

  • [FCA CF] Client dealing (since 1 Nov 2024)
  • [FCA CF] Material risk taker (since 1 Nov 2024)
• Giles Edward Smith

  IRN GES01066

  • SMF3 Executive Director (since 24 Jul 2024)
  • SMF1 Chief Executive (since 24 Jul 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Mar 2025)
  • CF29 Significant management (4 Feb 2016 to 8 Dec 2019)
• Gordon Loy Lewis

  IRN GXL00139

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Graeme McCormack

  IRN GXM00296

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Guillaume Francois Timothee Masset

  IRN GFM01047

  • CF30 Customer (5 Dec 2012 to 8 Dec 2019)
• Jacobo De Cominges Varela

  IRN JXD00956

  • [FCA CF] Material risk taker (since 1 Nov 2024)
  • [FCA CF] Client dealing (since 1 Nov 2024)
• Jochen Schaefer-Suren

  IRN JXS03746

  • [FCA CF] Material risk taker (9 Dec 2019 to 20 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Aug 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Aug 2021)
  • CF30 Customer (14 Jun 2017 to 8 Dec 2019)
• Jonathan Mark Cole

  IRN CXJ01097

  • CF30 Customer (17 Nov 2011 to 23 Oct 2015)
• Jonathan Ottley Short

  IRN JOS01003

  • SMF9 Chair of the Governing Body (20 Feb 2020 to 31 Mar 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2021)
  • CF1 Director (17 Nov 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Nov 2011 to 21 Apr 2017)
  • CF30 Customer (17 Nov 2011 to 8 Dec 2019)

• Paradigm Change Capital Partners (no longer appointed)

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

No changes recorded yet.