Sigma Broking Limited

• Principal Place of Business

  Sigma Broking Ltd

  125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442070119695

  Web

  https://www.sigma-broking.com

• Complaints Contact

  Sigma Broking Ltd

  125 Old Broad Street

  London

  City Of London

  EC2N 1AR

  UNITED KINGDOM

  Phone

  +442070119546

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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

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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, 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

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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.

• 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

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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, 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

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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, 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

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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.

• Ashley Dean Davies

  IRN ADD01056

  • [FCA CF] Client dealing (22 Sep 2022 to 25 Oct 2024)
  • [FCA CF] Material risk taker (22 Sep 2022 to 25 Oct 2024)
• Austin James Lee Holmes

  IRN AXH00470

  • [FCA CF] Client dealing (9 Dec 2020 to 21 Nov 2025)
• Ben Coleman

  IRN BTC01019

  • CF30 Customer (7 May 2015 to 6 Feb 2019)
• Benjamin Ellbogen

  IRN BXE01089

  • CF30 Customer (19 Aug 2013 to 20 Jul 2015)
• Brett Alfonso Genus

  IRN BAG01010

  • CF30 Customer (19 Dec 2017 to 12 Jul 2018)
• CHRISTIAN RICHARD FITKIN

  IRN CRF01038

  • [FCA CF] Client dealing (9 Dec 2020 to 6 May 2021)
• Charbel Nacouzi

  IRN CXN01063

  • CF30 Customer (20 Mar 2014 to 9 Jul 2019)
• Cheryl Lock

  IRN CXL01711

  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2020)
  • CF10 Compliance Oversight (27 Jun 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Jun 2017 to 8 Dec 2019)
• Christopher Adams

  IRN CPB01038

  • [FCA CF] Material risk taker (since 18 Sep 2025)
  • [FCA CF] Client dealing (since 18 Sep 2025)
  • [FCA CF] Significant management (since 18 Sep 2025)
  • [FCA CF] Proprietary trader (since 18 Sep 2025)
• Christopher Powell

  IRN CAP01054

  • CF30 Customer (17 Mar 2015 to 6 Feb 2019)

• Interfin Partners Limited (no longer appointed)

  FRN 765243 · Appointed 25 Jul 2017 · Until 28 Feb 2019

No changes recorded yet.