SFM UK Management LLP

• Principal Place of Business

  1 New Burlington Place

  London

  W1S 2HR

  UNITED KINGDOM

  Phone

  +4402077584800

• Complaints Contact

  1 New Burlington Place

  London

  W1S 2HR

  UNITED KINGDOM

  Phone

  +4402077584863

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Spread Bet, 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 Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Spread Bet, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Spread Bet, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Spread Bet, 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.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Spread Bet, 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.

• Jack William Dwyer

  IRN JWD01073

  • CF30 Customer (18 Feb 2013 to 4 Jan 2016)
• Jade Ellen Cornell Harber

  IRN JEC01205

  • CF10 Compliance Oversight (19 May 2011 to 24 May 2018)
  • CF11 Money Laundering Reporting (19 May 2011 to 24 May 2018)
• Jaime Echevarria

  IRN JXE01377

  • [FCA CF] Client dealing (since 9 Feb 2023)
• James Michael Wilson

  IRN JMW01293

  • CF30 Customer (3 Apr 2012 to 10 May 2017)
• Jamie Solomons

  IRN JXS02819

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Aug 2018 to 8 Dec 2019)
• Jason Andrew Freeman

  IRN JXF01184

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2023)
  • CF30 Customer (1 Oct 2018 to 8 Dec 2019)
• Jean-Francois Neuez

  IRN JXN01248

  • [FCA CF] Client dealing (since 26 Jun 2023)
• Jeffrey Eberwein

  IRN JXE01353

  • CF30 Customer (21 Jun 2011 to 28 Aug 2011)
• Jeremy Edward Gelber

  IRN JXG01418

  • CF4 Partner (8 Oct 2010 to 30 Jun 2011)
  • CF30 Customer (8 Oct 2010 to 1 Mar 2011)
• Joe Capone

  IRN JXC00613

  • [FCA CF] Client dealing (since 1 Oct 2020)
  • [FCA CF] Material risk taker (since 1 Oct 2020)

No changes recorded yet.