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.

• Robert John Leadbetter

  IRN RXL00175

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Apr 2022)
• Roger Alan Lees

  IRN RAL01060

  • SMF3 Executive Director (9 Dec 2019 to 18 Aug 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 18 Aug 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Aug 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Aug 2021)
  • CF1 Director (20 Mar 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jun 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (19 Apr 2017 to 8 Dec 2019)
• Sajjit Bhujohory

  IRN SXB01191

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

  IRN SXD00346

  • [FCA CF] Material risk taker (since 26 Mar 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Seth Lieberman

  IRN SXL01542

  • CF30 Customer (17 Nov 2011 to 23 Oct 2015)
• Steven Robert Faber

  IRN SRF01046

  • CF30 Customer (7 Dec 2012 to 17 Jan 2017)
• Zatul Iffah Binti Mohd Yusoh

  IRN ZXY00008

  • [FCA CF] Material risk taker (9 Dec 2019 to 29 Oct 2021)

• Paradigm Change Capital Partners (no longer appointed)

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

No changes recorded yet.