R.J. O'Brien Limited

• Principal Place of Business

  First Floor

  Moor House

  120 London Wall

  London

  EC2Y 5ET

  UNITED KINGDOM

  Phone

  +442035806000

  Web

  https://www.rjobrien.co.uk

• Complaints Contact

  First Floor

  Moor House

  120 London Wall

  London

  EC2Y 5ET

  UNITED KINGDOM

  Phone

  +442035806000

• 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, 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.

• 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.

• Arranges Asset Safekeeping

  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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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), 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, 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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  • · 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.
  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• 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

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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.

• Manages Your Portfolio

  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.

• Holds Your Assets

  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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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), Share, Unit, Warrant

• Abigail Hartstone

  IRN AXH01779

  • CF30 Customer (1 Nov 2007 to 14 Apr 2011)
  • CF26 Customer Trading (5 Jan 2006 to 31 Oct 2007)
• Adam Joseph Redfern

  IRN AJR01369

  • CF30 Customer (20 Jun 2011 to 30 Aug 2012)
• Adam Paul Solomons

  IRN APS01077

  • SMF1 Chief Executive (since 6 Feb 2026)
  • SMF3 Executive Director (since 10 Jul 2020)
  • CF29 Significant management (8 Nov 2013 to 8 Dec 2019)
  • CF28 Systems and controls (23 Apr 2008 to 18 Nov 2013)
  • CF1 Director (1 Dec 2001 to 12 Feb 2013)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Aug 2003)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Nov 2005)
• Adam Robin Musikant

  IRN ARM01113

  • CF21 Investment Adviser (1 Dec 2001 to 13 Jun 2006)
• Adelowo Rhodes

  IRN AXR00913

  • [FCA CF] Client dealing (8 Apr 2024 to 27 Jan 2025)
• Adrian Martin McGrath

  IRN AMM01111

  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Aug 2003)
  • CF1 Director (1 Dec 2001 to 1 Aug 2003)
  • CF13 Finance (1 Dec 2001 to 1 Aug 2003)
• Adrian Robert Marrocco

  IRN ARM01263

  • SMF3 Executive Director (2 Apr 2020 to 12 Apr 2021)
  • CF10a CASS Oversight function (1 Dec 2016 to 8 Dec 2019)
  • CF28 Systems and controls (16 Apr 2013 to 17 Mar 2015)
• Adrian Thomas Barford

  IRN ATB01020

  • CF21 Investment Adviser (7 Jun 2002 to 7 Jun 2002)
• Ajay Arvindray Patel

  IRN AAP01036

  • CF30 Customer (20 Sep 2017 to 13 Dec 2017)
• Ajay Chawla

  IRN AXC01345

  • CF26 Customer Trading (7 Jul 2004 to 15 Sep 2004)

• Shaun Christopher Downey (no longer appointed)

  FRN 550418 · Appointed 10 May 2011 · Until 13 Nov 2014

No changes recorded yet.