PROSPERITY CAPITAL MANAGEMENT (UK) LIMITED

Date authorised
1 April 2013
Companies House
04959887
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    207 Regent Street
    London
    W1B 3HH
    UNITED KINGDOM
    Phone
    +447834666213
    Web
    https://www.prosperitycapital.com

  • Complaints Contact

    207 Regent Street
    London
    W1B 3HH
    UNITED KINGDOM
    Phone
    +447834666213

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    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, Unit, Warrant

    Show 1 limitation
    • · 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

    For Eligible Counterparty, Professional

    Show 1 limitation
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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, 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

    Show 1 limitation
    • · 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, 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

    Show 1 limitation
    • · 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.

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Manages Your Portfolio

    For Professional, Certificates representing certain security, 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Oliver James Sinton

    IRN OJS01020

    • CF1 Director (19 Feb 2010 to 7 Feb 2013)
  • Paul Odin Leander-Engstrom

    IRN POL01003

    • CF1 Director (26 May 2004 to 30 Nov 2006)
    • CF21 Investment Adviser (26 May 2004 to 1 May 2007)
  • Penelope Jane Wordsworth

    IRN PJW01274

    • CF28 Systems and controls (28 Jul 2011 to 5 Feb 2014)
    • CF1 Director (19 Feb 2010 to 5 Feb 2014)
    • CF30 Customer (1 Nov 2007 to 5 Feb 2014)
    • CF22 Investment Adviser (Trainee) (21 May 2007 to 31 Oct 2007)
  • Peter Thomson

    IRN PXT01423

    • CF2 Non Executive Director (15 Feb 2010 to 7 Feb 2013)
  • Richard Graham Hastings

    IRN RGH01108

    • CF1 Director (19 Feb 2010 to 31 Oct 2019)
  • Sonia Alvarado De Westman

    IRN SXA02186

    • CF30 Customer (24 Apr 2012 to 20 Apr 2015)
  • Sven Johan Jorgen Stromberg

    IRN SJS01197

    • CF30 Customer (26 Jan 2012 to 8 Nov 2013)
  • Sven Thomas Olsson

    IRN STO00005

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Sep 2025)
    • SMF16 Compliance Oversight (since 3 Sep 2025)
    • SMF1 Chief Executive (since 26 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (4 Dec 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 29 Jul 2011)
    • CF21 Investment Adviser (26 May 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (26 May 2004 to 29 Jul 2011)
    • CF13 Finance (26 May 2004 to 31 Oct 2007)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.