Sequence Advisers LLP

Date authorised
1 March 2017
Companies House
OC411948
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Sequence Advisers LLP
    7 Henrietta Street
    London
    Westminster
    WC2E 8PS
    UNITED KINGDOM
    Phone
    +442034057203
    Web
    https://www.sequenceadvisers.co.uk

  • Complaints Contact

    Sequence Advisers LLP
    7 Henrietta Street
    London
    Westminster
    WC2E 8PS
    UNITED KINGDOM
    Phone
    +442034057203

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, Retail (Investment), 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

    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

    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, 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

    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, Retail (Investment), 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

    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.

  • Graham Richard Smith

    IRN GRS01146

    • 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)
    • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
    • CF4 Partner (1 Mar 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2017 to 8 Dec 2019)
  • Oliver Jarman

    IRN OXJ00031

    • [FCA CF] Client dealing (since 1 Jun 2022)
  • Samuel Charles Bradley Esser

    IRN SCE01045

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (27 Nov 2017 to 8 Dec 2019)
  • Toby Daniel Ramsden

    IRN TDR01009

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
    • CF4 Partner (1 Mar 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.