Seven Investment Management LLP

• Principal Place of Business

  Seven Investment Management

  1 Angel Court

  London

  City Of London

  EC2R 7HJ

  UNITED KINGDOM

  Phone

  +4402077608777

  Web

  https://www.7im.co.uk

• Complaints Contact

  Seven Investment Management

  1 Angel Court

  London

  City Of London

  EC2R 7HJ

  UNITED KINGDOM

  Phone

  +4402077608777

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, 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, 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.

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Trades With You Directly

  For Professional, Retail (Investment), Rights to or interests in investments (Security), Unit

  Show 2 limitations Hide limitations

  • · Limited to Investment Companies with Variable Capital box management activities.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Retail Investment Funds

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Harry Napier

  IRN HXN00119

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Dec 2025)
  • Appointed representative dealing with clients for which they require qualification (since 20 Sep 2024)
  • [FCA CF] Client dealing (since 20 Sep 2024)
  • CF30 Customer (since 9 Sep 2024)
• Hazel Ann Paton

  IRN HAP01023

  • CF4 Partner (27 Mar 2014 to 8 Apr 2016)
  • CF28 Systems and controls (1 Mar 2013 to 8 Apr 2016)
  • CF10a CASS Oversight function (1 Mar 2013 to 8 Apr 2016)
• Henrietta Manners Grimston

  IRN HMG01021

  • CF30 Customer (7 Oct 2014 to 14 Oct 2019)
• Henry Thomas Peter Fox

  IRN HTF01004

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Nov 2021)
  • CF30 Customer (8 Mar 2018 to 8 Dec 2019)
• Howard Hardy-King

  IRN HXH01224

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 23 Jul 2024)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2013 to 8 Dec 2019)
• Hugh John Baxter Castle

  IRN HJC01062

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 29 May 2025)
• Hugo Brown

  IRN HXB00242

  • [FCA CF] Client dealing (1 Aug 2025 to 28 Nov 2025)
  • [FCA CF] Material risk taker (22 Dec 2022 to 10 Jul 2024)
• Ian Alistair Jensen-Humphreys

  IRN IAJ01007

  • CF30 Customer (10 Jun 2016 to 8 Dec 2019)
• Ian Bruce Owen

  IRN IBO01001

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 21 Sep 2020)
  • CF2 Non Executive Director (30 Jun 2016 to 8 Dec 2019)
• Ian Nicholas Lovett

  IRN INL01001

  • CF2 Non Executive Director (1 Mar 2013 to 5 Jul 2016)

• Amicus Wealth Ltd

  FRN 613676 · Appointed 27 Oct 2023

No changes recorded yet.