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.

• Kane Terence Alan Edland

  IRN KTE01000

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Jan 2024)
  • CF30 Customer (6 May 2015 to 8 Dec 2019)
• Karen Fitzpatrick

  IRN KXF00166

  • [FCA CF] Functions requiring qualifications (20 Jan 2023 to 24 Sep 2024)
• Karen Ottley

  IRN KXO00113

  • [FCA CF] Material risk taker (since 22 Dec 2022)
• Kate Mary Hughes

  IRN KXH84383

  • [FCA CF] Material risk taker (since 11 Jul 2024)
  • SMF27 Partner (since 3 Sep 2020)
• Katherine Clare Stoves

  IRN KXB16976

  • CF30 Customer (11 Jul 2019 to 8 Dec 2019)
• Kieran Patrick McDonnell

  IRN KPM01065

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (23 Aug 2018 to 8 Dec 2019)
• Kristofer Barclay

  IRN KXB01247

  • [FCA CF] Functions requiring qualifications (3 May 2022 to 5 Jan 2024)
• Kunal Vaghela

  IRN KXV00093

  • [FCA CF] Client dealing (since 2 May 2024)
• Laura Kyle

  IRN LXK01280

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Mar 2021)
  • CF30 Customer (1 Dec 2018 to 8 Dec 2019)
• Louise Jane Court

  IRN LXC20350

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 8 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (14 Sep 2019 to 8 Dec 2019)

• Amicus Wealth Ltd

  FRN 613676 · Appointed 27 Oct 2023

No changes recorded yet.