SHORE CAPITAL STOCKBROKERS LIMITED

Date authorised
1 April 2013
Companies House
01850105
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Shore Capital Group Ltd
    Cassini House 57-59
    St. James's Street
    London
    Westminster
    SW1A 1LD
    UNITED KINGDOM
    Phone
    +442074084050
    Web
    https://www.shorecap.co.uk

  • Complaints Contact

    Shore Capital Group Ltd
    Cassini House 57-59
    St. James's Street
    London
    Westminster
    SW1A 1LD
    UNITED KINGDOM
    Phone
    +442074084050

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Spread Bet, Unit, Warrant

    Show 2 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.
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments (contractually based investment)", (when the latter is associated with this specified investment).

  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, Warrant

    Show 1 limitation
    • · 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, Retail (Investment), Certificates representing certain security, 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), Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments (contractually based investment)", (when the latter is associated with this specified investment).
    • · 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Melanie Dalia Sharpe

    IRN MDS01089

    • CF21 Investment Adviser (2 Dec 2005 to 16 Jul 2007)
    • CF22 Investment Adviser (Trainee) (30 Dec 2003 to 2 Dec 2005)
  • Michael Antony Stewart

    IRN MAS01557

    • CF30 Customer (26 May 2014 to 19 Dec 2014)
  • Michael Charles Gaston

    IRN MCG01029

    • CF30 Customer (1 Nov 2007 to 17 Jul 2014)
    • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
    • CF26 Customer Trading (21 Jul 2006 to 9 Oct 2006)
  • Michael Laurent Van Messel

    IRN MLV01002

    • CF28 Systems and controls (1 Nov 2007 to 10 Sep 2010)
    • CF11 Money Laundering Reporting (14 Oct 2003 to 17 Nov 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 17 Nov 2009)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Michael Sean Fry

    IRN MSF01016

    • CF30 Customer (1 Nov 2007 to 21 Jan 2015)
    • CF21 Investment Adviser (3 Oct 2006 to 31 Oct 2007)
    • CF26 Customer Trading (20 Jul 2006 to 3 Oct 2006)
  • Natalie Brennan

    IRN NXB14331

    • [FCA CF] Client dealing (since 12 Mar 2021)
    • CF30 Customer (27 Apr 2019 to 8 Dec 2019)
  • Neil Kapoor

    IRN NXK01085

    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Mar 2020)
    • CF11 Money Laundering Reporting (15 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jul 2019 to 8 Dec 2019)
  • Neil Letchford

    IRN NXL01044

    • CF21 Investment Adviser (1 Dec 2001 to 1 Feb 2006)
    • CF26 Customer Trading (1 Dec 2001 to 1 Feb 2006)
  • Neil Thomas Welch

    IRN NXW01109

    • CF21 Investment Adviser (1 Aug 2003 to 31 Jul 2006)
  • Nicholas David Bankes

    IRN NDB01020

    • CF30 Customer (1 Nov 2007 to 14 Apr 2014)
    • CF21 Investment Adviser (6 Jul 2005 to 31 Oct 2007)
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Recent activity

Updates to this firm's record on the FCA register.

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