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.

• Christopher Steven Phillips

  IRN CXP19726

  • [FCA CF] Material risk taker (since 10 May 2023)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF27 Partner (9 Dec 2019 to 23 Jun 2020)
  • CF4 Partner (28 Nov 2019 to 8 Dec 2019)
• Claire Croad

  IRN CXC00635

  • [FCA CF] Material risk taker (since 22 Dec 2022)
• Colin Rowe

  IRN CSR00008

  • [FCA CF] Significant management (16 Sep 2020 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (16 Sep 2020 to 31 Mar 2024)
• Colin Thomas Orr

  IRN CTO01005

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Dec 2021)
  • CF30 Customer (9 May 2019 to 8 Dec 2019)
• Colin William MacKenzie

  IRN CWM01029

  • CF30 Customer (8 Oct 2015 to 11 Aug 2017)
• Colin Williams

  IRN CXW01870

  • [FCA CF] Client dealing (since 20 Feb 2024)
• Conor O'Grady

  IRN CXO00220

  • [FCA CF] Material risk taker (since 8 Jul 2024)
• Corinne Guido

  IRN CXG00108

  • [FCA CF] Material risk taker (2 May 2024 to 28 May 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 28 May 2025)
• Craig Forbes

  IRN CXF01068

  • 12. Giving personal recommendations on and dealing in 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 18 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 10 Sep 2022)
• Craig Scott Hendry

  IRN CSH01048

  • [FCA CF] Material risk taker (since 15 Apr 2025)

• Amicus Wealth Ltd

  FRN 613676 · Appointed 27 Oct 2023

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