Prism Financial Products LLP

• Principal Place of Business

  The Grove, Third Floor

  248a Marylebone Road

  London

  NW1 6JZ

  UNITED KINGDOM

  Phone

  +442070739473

  Web

  https://www.prismfp.com

• Complaints Contact

  The Grove, Third Floor

  248a Marylebone Road

  London

  NW1 6JZ

  UNITED KINGDOM

  Phone

  +442070739473

• 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• . PrismFP Partners LLP

  IRN XXP01211

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (20 Oct 2016 to 8 Dec 2019)
• . Tazza Holdings Ltd

  IRN XXT01172

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (20 Oct 2016 to 8 Dec 2019)
• Alvaro Hierro

  IRN AXH01163

  • CF30 Customer (since 27 Jan 2025)
  • [FCA CF] Client dealing (since 14 Oct 2024)
• Andrew Daniel Rowan

  IRN ADR01099

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 24 Jan 2014)
  • CF4 Partner (11 Oct 2017 to 1 Jan 2019)
• Anthony Murray

  IRN AXM01738

  • CF30 Customer (since 8 Jul 2024)
  • [FCA CF] Material risk taker (since 25 Apr 2023)
  • [FCA CF] Manager of certification employee (since 25 Apr 2023)
  • [FCA CF] Client dealing (since 13 Apr 2023)
  • [FCA CF] Significant management (since 12 Apr 2023)
• Asif Ali

  IRN AXM01517

  • CF4 Partner (23 May 2014 to 20 Apr 2015)
  • CF30 Customer (6 May 2014 to 20 Apr 2015)
• Avani Kikani

  IRN AXK01949

  • CF30 Customer (24 Jan 2014 to 24 Oct 2014)
  • CF4 Partner (24 Jan 2014 to 24 Oct 2014)
• Benedict William Cogley

  IRN BXC00265

  • CF30 Customer (27 Mar 2023 to 19 Sep 2023)
  • [FCA CF] Client dealing (8 Jun 2022 to 19 Sep 2023)
• Benjamin Lawson Mercer

  IRN BLM01022

  • SMF27 Partner (9 Dec 2019 to 23 Jan 2020)
  • CF4 Partner (11 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (3 Aug 2017 to 7 Apr 2020)
• Brandon Eric Dammerman

  IRN BED01016

  • CF4 Partner (2 Jul 2014 to 19 Oct 2016)
  • CF30 Customer (2 Jul 2014 to 25 Aug 2016)

• Prism Financial Products LP

  FRN 782608 · Appointed 26 Jun 2017

No changes recorded yet.