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

• Paul Anthony Snell

  IRN PAS01152

  • SMF17 Money Laundering Reporting Officer (MLRO) (18 Mar 2022 to 29 Jun 2023)
  • SMF16 Compliance Oversight (18 Mar 2022 to 29 Jun 2023)
• Paul James Kusak

  IRN PJK01056

  • CF26 Customer Trading (4 Apr 2003 to 17 Jan 2005)
• Paul Louis Wise

  IRN PLW01026

  • CF2 Non Executive Director (25 Sep 2006 to 1 Jul 2010)
  • CF1 Director (1 Dec 2001 to 25 Sep 2006)
• Paul Mitchell

  IRN PXM01669

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2023)
  • CF30 Customer (9 Jun 2015 to 8 Dec 2019)
• Paul Nicholas Lambrianos

  IRN PNL01009

  • CF21 Investment Adviser (26 Jan 2005 to 13 Jun 2006)
• Paul Vernon Lack

  IRN PVL01002

  • CF10a CASS Oversight function (1 Oct 2011 to 30 Oct 2015)
  • CF1 Director (19 Jun 2009 to 30 Oct 2015)
  • CF28 Systems and controls (23 Apr 2008 to 26 Sep 2013)
  • CF11 Money Laundering Reporting (17 Nov 2005 to 17 Mar 2015)
  • CF10 Compliance Oversight (10 Nov 2004 to 24 May 2013)
• Paul Whetstone

  IRN PDW01083

  • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2025)
• Peter Green

  IRN PLG01012

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 1 Jan 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2026)
  • CF2 Non Executive Director (30 Apr 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 Feb 2015 to 30 Apr 2015)
  • CF28 Systems and controls (23 Apr 2008 to 26 Sep 2013)
  • CF30 Customer (1 Nov 2007 to 7 Feb 2013)
  • CF26 Customer Trading (22 Jun 2006 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 30 Apr 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 22 Jun 2006)
  • CF3 Chief Executive (1 Dec 2001 to 30 Apr 2015)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Peter Herrmann

  IRN PXH01261

  • CF30 Customer (9 Jul 2015 to 13 Jul 2016)
• Peter John Jerrom

  IRN PJJ01069

  • CF30 Customer (23 May 2016 to 29 Jun 2016)

• Shaun Christopher Downey (no longer appointed)

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

No changes recorded yet.