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

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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 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

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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.

• 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

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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.

• 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

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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.

• Trades With You Directly

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

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  • · 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

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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.

• 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

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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.

• Luke Stuart Stephenson

  IRN LXS00485

  • 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 1 Mar 2024)
  • [FCA CF] Client dealing (since 1 Mar 2024)
  • CF30 Customer (since 10 Nov 2023)
• Mark Endacott

  IRN MAE01082

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 8 Nov 2024)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (27 Jul 2017 to 8 Dec 2019)
• Mark James Sheerin

  IRN MJS01521

  • CF30 Customer (1 Mar 2013 to 7 Jul 2015)
• Mark James Thornton-Smith

  IRN MXT01826

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Dec 2020)
  • CF30 Customer (6 Dec 2018 to 8 Dec 2019)
• Martyn Russell Surguy

  IRN MRS01085

  • [FCA CF] Material risk taker (9 Dec 2019 to 8 Sep 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Sep 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 8 Sep 2025)
  • CF4 Partner (4 Mar 2019 to 9 Dec 2019)
  • CF30 Customer (4 Mar 2019 to 8 Dec 2019)
• Mason Rainier-Kirkwood

  IRN MXR00970

  • Appointed representative dealing with clients for which they require qualification (10 Jan 2025 to 27 Nov 2025)
  • [FCA CF] Client dealing (10 Jan 2025 to 27 Nov 2025)
  • CF30 Customer (10 Jan 2025 to 28 Nov 2025)
• Matteo Ruozzo

  IRN MXR14551

  • [FCA CF] Client dealing (since 25 Jul 2025)
• Matthew Christopher Yeates

  IRN MCY01011

  • 14. Managing investments
  • [FCA CF] Significant management (since 24 Jul 2025)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Nov 2015 to 8 Dec 2019)
• Matthew Finch

  IRN MXF00351

  • [FCA CF] Functions requiring qualifications (28 Apr 2023 to 25 Sep 2024)
• Matthew Thomas

  IRN MXT01910

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Dec 2025)
  • [FCA CF] Client dealing (since 1 Mar 2024)
  • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2024)
  • CF30 Customer (since 24 Nov 2023)

• Amicus Wealth Ltd

  FRN 613676 · Appointed 27 Oct 2023

No changes recorded yet.