SECOR Investment Advisors (UK) LLP

• Principal Place of Business

  1 King William Street

  3rd floor

  London

  EC4N 7AF

  UNITED KINGDOM

  Phone

  +447711466539

  Web

  http://www.secor-am.com

• Complaints Contact

  1 King William Street

  3rd floor

  London

  EC4N 7AF

  UNITED KINGDOM

  Phone

  +447711466539

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, Life Policy, 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, Life Policy, 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, Life Policy, 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.

• 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, Life Policy, 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 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, Life Policy, 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.

• . SECOR Asset Management, LP

  IRN XXS00024

  • SMF27 Partner (since 1 May 2025)
• . SECOR Partners (UK) Limited

  IRN XXS01168

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (4 Jul 2011 to 8 Dec 2019)
• Brian Kearney

  IRN BXK01384

  • Responsible for Insurance Mediation (21 Jun 2016 to 8 Aug 2017)
  • CF11 Money Laundering Reporting (15 Mar 2016 to 17 Jul 2017)
  • CF30 Customer (1 Nov 2015 to 8 Aug 2017)
  • CF4 Partner (15 Jun 2015 to 8 Aug 2017)
• David Alexander Morton

  IRN DXM00854

  • [FCA CF] Client dealing (since 1 Mar 2023)
• Duen-Li Kao

  IRN DXK01291

  • SMF9 Chair of the Governing Body (since 4 Feb 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF10 Compliance Oversight (4 Jul 2011 to 3 Nov 2011)
  • CF4 Partner (4 Jul 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Jul 2011 to 3 Nov 2011)
  • CF30 Customer (4 Jul 2011 to 8 Dec 2019)
• Erik Peter Davey

  IRN EPD01021

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF4 Partner (17 Jul 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (17 Jul 2017 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (17 Jul 2017 to 8 Dec 2019)
  • CF30 Customer (17 Jul 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Jul 2017 to 8 Dec 2019)
• Jason Allan

  IRN JXA01544

  • [FCA CF] Client dealing (since 1 Jul 2022)
• Jeroen Dirk Cornelis Maria Wilbrink

  IRN JDW01080

  • CF11 Money Laundering Reporting (3 Nov 2011 to 10 Jun 2012)
  • CF4 Partner (3 Nov 2011 to 10 Jun 2012)
  • CF30 Customer (3 Nov 2011 to 10 Jun 2012)
  • CF10 Compliance Oversight (3 Nov 2011 to 10 Jun 2012)
• John Robert Manion

  IRN JRM01244

  • CF4 Partner (4 Feb 2013 to 31 Mar 2016)
  • CF10 Compliance Oversight (4 Feb 2013 to 31 Mar 2016)
  • CF11 Money Laundering Reporting (4 Feb 2013 to 31 Mar 2016)
  • CF30 Customer (4 Feb 2013 to 31 Mar 2016)
• Kam-Hon Chang

  IRN KXC01310

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (19 Dec 2017 to 8 Dec 2019)
  • CF30 Customer (4 Jul 2011 to 8 Dec 2019)

No changes recorded yet.