Seneca Partners Limited

Date authorised
1 April 2013
Companies House
07196273
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 The Parks
    Newton-le-Willows
    Merseyside
    WA12 0JQ
    UNITED KINGDOM
    Phone
    +441942271746
    Web
    https://www.senecapartners.co.uk

  • Complaints Contact

    9 The Parks
    Newton-le-Willows
    Merseyside
    WA12 0JQ
    UNITED KINGDOM
    Phone
    +441942271746

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 2 limitations
    • · The firm must not conduct any designated investment business with retail clients other than (or except) corporate finance business
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Gordon Lane

    IRN GXL01195

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Oct 2022)
    • CF30 Customer (5 Feb 2013 to 8 Dec 2019)
  • Ian Battersby

    IRN IXB00063

    • CF30 Customer (5 Feb 2013 to 30 Apr 2018)
  • Ian William Currie

    IRN IWC01006

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (2 May 2013 to 20 Jan 2020)
    • CF30 Customer (5 Feb 2013 to 8 Dec 2019)
    • CF1 Director (5 Feb 2013 to 8 Dec 2019)
  • JOHN WILLIAM DAVIES

    IRN JXD00279

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2021)
  • Jean Shereen Miller

    IRN JSM01239

    • CF3 Chief Executive (AR) (29 Mar 2016 to 3 Aug 2018)
    • CF1 Director (AR) (29 Mar 2016 to 3 Aug 2018)
    • CF30 Customer (29 Mar 2016 to 3 Aug 2018)
  • Mark Alan Hopton

    IRN MAH01419

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (16 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Mar 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Mar 2015 to 8 Dec 2019)
    • CF28 Systems and controls (5 Feb 2013 to 8 Dec 2019)
  • Matthew James Currie

    IRN MXC06544

    • 14. Managing investments
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (12 Oct 2018 to 8 Dec 2019)
  • Melanie Hird

    IRN MXH02443

    • CF30 Customer (7 May 2013 to 25 May 2017)
    • CF1 Director (AR) (7 May 2013 to 25 May 2017)
  • Michael Beverley

    IRN MXB03000

    • CF2 Non Executive Director (5 Feb 2013 to 10 Jun 2019)
  • Nicholas Guise Leitch

    IRN NGL01016

    • CF30 Customer (1 May 2013 to 16 Nov 2016)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.