SHORE CAPITAL STOCKBROKERS LIMITED

• 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

• 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

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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 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

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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.
  • · 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

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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 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

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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.

• 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 Hide 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 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.

• Simon Marc Schaffer

  IRN SMS01095

  • [FCA CF] Client dealing (since 12 Mar 2021)
  • CF30 Customer (18 May 2009 to 8 Dec 2019)
• Simon Mark Mathias

  IRN SMM01069

  • CF26 Customer Trading (1 Dec 2001 to 23 Sep 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 23 Sep 2002)
  • CF1 Director (1 Dec 2001 to 23 Sep 2002)
• Simon Peter Fine

  IRN SPF01027

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 May 2007 to 31 Oct 2007)
  • CF3 Chief Executive (9 May 2007 to 8 Dec 2019)
  • CF26 Customer Trading (28 Nov 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (28 Nov 2002 to 31 Oct 2007)
  • CF1 Director (28 Nov 2002 to 8 Dec 2019)
• Sophie Melissa Amphlett

  IRN SMA01029

  • CF21 Investment Adviser (24 Feb 2003 to 31 May 2003)
• Stephen Mark Henney

  IRN SMH01197

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Mar 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (27 Nov 2006 to 9 Mar 2007)
• Stephen Pearce

  IRN SXP01344

  • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Sep 2003)
• Steven George Larkins

  IRN SGL01014

  • CF30 Customer (1 Nov 2007 to 25 Mar 2008)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
• Stuart Justin Allen

  IRN SJA01084

  • CF30 Customer (1 Nov 2007 to 31 Jul 2009)
  • CF21 Investment Adviser (12 Jun 2006 to 31 Oct 2007)
• Stuart Saunders

  IRN SXS00747

  • [FCA CF] Client dealing (7 Oct 2024 to 17 Apr 2025)
• Sushmita Jana

  IRN SXJ01155

  • [FCA CF] Client dealing (19 Apr 2022 to 1 Feb 2023)

No changes recorded yet.