Smythe House Limited

• Principal Place of Business

  6 Duke Street St James's

  2nd Floor

  London

  SW1Y 6BN

  UNITED KINGDOM

  Phone

  +4402031795300

  Web

  https://www.smythehouse.co.uk

• Complaints Contact

  6 Duke Street St James's

  2nd Floor

  London

  SW1Y 6BN

  UNITED KINGDOM

  Phone

  +4402031795300

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Edward Alexander De Burgh Galwey

  IRN EAD00009

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 12 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 12 Dec 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (12 Dec 2022 to 12 Dec 2022)
  • Responsibility for MCD Intermediation (12 Dec 2022 to 12 Dec 2022)
  • CF11 Money Laundering Reporting (30 Aug 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Aug 2017 to 8 Dec 2019)
  • CF1 Director (31 Aug 2012 to 8 Dec 2019)
  • CF30 Customer (31 Aug 2012 to 8 Dec 2019)
• Gerd Weissenboeck

  IRN GXW01185

  • CF4 Partner (AR) (23 Jan 2013 to 6 Mar 2020)
  • CF30 Customer (23 Jan 2013 to 6 Mar 2020)
• James William Phillips

  IRN JWP01077

  • [FCA CF] Client dealing (18 Oct 2021 to 13 Oct 2022)
  • [FCA CF] Functions requiring qualifications (18 Oct 2021 to 13 Oct 2022)
• Janna Goncharova

  IRN JXG02223

  • CF30 Customer (20 Aug 2015 to 8 Jul 2016)
• Michael Charles Seabrook

  IRN MCS01070

  • [FCA CF] Client dealing (23 Aug 2021 to 13 Oct 2022)
  • [FCA CF] Functions requiring qualifications (23 Aug 2021 to 13 Oct 2022)
• Nicholas John Lovering

  IRN NJL01044

  • [FCA CF] Functions requiring qualifications (22 Jun 2023 to 4 Jul 2024)
  • [FCA CF] Client dealing (4 Aug 2022 to 13 Oct 2022)
• Paul Niall Jenkinson

  IRN PNJ01018

  • CF1 Director (AR) (1 Feb 2016 to 1 Jul 2019)
  • CF30 Customer (1 Feb 2016 to 1 Jul 2019)
• Richard Peter Walker

  IRN RPW01056

  • CF1 Director (31 Aug 2012 to 7 Jun 2017)
  • CF10 Compliance Oversight (31 Aug 2012 to 7 Jun 2017)
  • CF11 Money Laundering Reporting (31 Aug 2012 to 7 Jun 2017)
  • CF30 Customer (31 Aug 2012 to 8 Dec 2019)
• Robert Christopher Hayward

  IRN RXH00418

  • [FCA CF] Functions requiring qualifications (23 Aug 2021 to 18 Mar 2022)
  • [FCA CF] Client dealing (23 Aug 2021 to 18 Mar 2022)
• Simon Philip McGivern

  IRN SPM01113

  • SMF3 Executive Director (since 26 Jan 2022)

• Whitespace Ventures Limited (no longer appointed)

  FRN 733191 · Appointed 22 Jan 2016 · Until 5 Jul 2019

• Zelig Associates Europe LLP (no longer appointed)

  FRN 593120 · Appointed 19 Dec 2012 · Until 9 Mar 2020 · Tied agent

No changes recorded yet.