S.P. ANGEL CORPORATE FINANCE LLP

• Principal Place of Business

  S.P. Angel Corporate Finance LLP

  Prince Frederick House

  35-39 Maddox Street

  London

  W1S 2PP

  UNITED KINGDOM

  Phone

  +4402034700470

  Web

  https://www.spangel.co.uk

• Complaints Contact

  Prince Frederick House

  35-39 Maddox Street

  London

  W1S 2PP

  UNITED KINGDOM

  Phone

  +4402034700470

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  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, 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, 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.

• Arranges Asset Safekeeping

  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, 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.

• Stockbroking

  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, 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, 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, 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.
  • · Unable on a regular basis to: (i) deal on own account in relation to MiFID financial instruments and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.

• 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, 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.

• Holds Your Assets

  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, 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.

• Richard John Graves Morrison

  IRN RJM01229

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (15 Apr 2016 to 8 Dec 2019)
• Robert Alan Johnson

  IRN BXJ01185

  • SMF27 Partner (9 Dec 2019 to 13 Jan 2024)
  • CF30 Customer (4 Mar 2019 to 8 Dec 2019)
  • CF4 Partner (4 Mar 2019 to 8 Dec 2019)
• Robert Mark Rees

  IRN RMR01043

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (31 Jan 2019 to 8 Dec 2019)
• Robert Wooldridge

  IRN RIW01017

  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 29 Sep 2023)
  • CF3 Chief Executive (3 Oct 2019 to 8 Dec 2019)
  • CF10a CASS Oversight function (11 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2010 to 6 Jun 2011)
  • CF4 Partner (1 Jul 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jul 2010 to 6 Jun 2011)
• Roger Jeremy LeBoff

  IRN RJL01179

  • CF30 Customer (13 Jan 2015 to 29 Aug 2017)
• Sam Wahab

  IRN SXW01857

  • [FCA CF] Client dealing (9 Dec 2020 to 31 Mar 2022)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Sarah Elizabeth Stuart

  IRN SES01036

  • CF11 Money Laundering Reporting (30 Jul 2013 to 9 Jun 2015)
  • CF10 Compliance Oversight (30 Jul 2013 to 9 Jun 2015)
• Sergey Raevskiy

  IRN SXR01906

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (30 Oct 2012 to 8 Dec 2019)
• Shawn David Manning

  IRN SDM01075

  • CF30 Customer (17 Oct 2017 to 16 Jul 2018)
• Simon Francis Beardsmore

  IRN SFB01022

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (10 Oct 2014 to 8 Dec 2019)

• KK Advisory Ltd (no longer appointed)

  FRN 918341 · Appointed 16 Dec 2019 · Until 31 Jul 2024

• S M Advisory Services Ltd (no longer appointed)

  FRN 594332 · Appointed 15 Jan 2013 · Until 14 Nov 2014

• International Capital LLP (no longer appointed)

  FRN 582885 · Appointed 15 Jun 2012 · Until 25 Jul 2012

No changes recorded yet.