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.

• Jan Christian Keller

  IRN JCK01075

  • CF30 Customer (16 Mar 2023 to 3 Jun 2024)
  • [FCA CF] Client dealing (7 Jun 2022 to 3 Jun 2024)
• Joseph Reynolds

  IRN JXR02181

  • CF4 Partner (7 Jul 2015 to 19 Oct 2016)
• Karl Kerem

  IRN KXK00095

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Kazuko Wachter

  IRN KXW00139

  • [FCA CF] Material risk taker (19 Dec 2019 to 28 Mar 2025)
• Kerry Briscoe

  IRN KAB01112

  • CF30 Customer (21 Dec 2021 to 7 Jun 2023)
  • [FCA CF] Client dealing (30 Sep 2021 to 7 Jun 2023)
• Kevin Martins da Silva

  IRN KXM02210

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (AR) (since 5 Jul 2017)
  • CF10 Compliance Oversight (22 Jun 2017 to 8 Dec 2019)
  • CF4 Partner (20 Jan 2016 to 8 Dec 2019)
• Lars Johan Kristofer Jerntorp

  IRN LJJ01041

  • [FCA CF] Client dealing (21 Sep 2020 to 7 Aug 2023)
• Lee William Ellis

  IRN LWE01001

  • CF30 Customer (21 Sep 2018 to 17 Jun 2019)
• Luke Harding

  IRN LXH00286

  • CF30 Customer (22 Aug 2021 to 19 Aug 2024)
  • [FCA CF] Client dealing (28 Jul 2021 to 19 Aug 2024)
• Manvir Singh Nijhar

  IRN MSN01026

  • CF30 Customer (since 21 Aug 2023)
  • [FCA CF] Client dealing (since 9 May 2023)

• Prism Financial Products LP

  FRN 782608 · Appointed 26 Jun 2017

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