Sparrows Capital Limited

• Principal Place of Business

  Office 7

  35-37 Ludgate Hill

  London

  EC4M 7JN

  UNITED KINGDOM

  Phone

  +442037144624

  Web

  https://www.sparrowscapital.com

• Complaints Contact

  Office 7

  35-37 Ludgate Hill

  London

  London

  EC4M 7JN

  UNITED KINGDOM

  Phone

  +442037144624

• Investment Advice (no pensions)

  For 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Arranges Asset Safekeeping

  For 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), 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, Unit, Warrant

  Show 2 limitations 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Stockbroking

  For 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Investment Setup

  For 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), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Manages Your Portfolio

  For 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), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations 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.
  • · The Contract for Differences and Rolling Spot Foreign Exchange investment types are limited to professional clients.

• Phillip James Young

  IRN PJY01035

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 30 Sep 2024)
• Piero Vincenzo D’Agostino

  IRN PXD00438

  • Director of firm who is not a certification employee or a SMF manager (since 17 Mar 2025)
• Raymond Ignatius Backreedy

  IRN RIB01037

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Mar 2021)
  • CF30 Customer (3 May 2017 to 8 Dec 2019)
• Rupert Dickinson

  IRN RXD01437

  • SMF9 Chair of the Governing Body (since 8 Dec 2023)
  • Director of firm who is not a certification employee or a SMF manager (since 2 Mar 2020)
• Sophie Austen

  IRN SXA67475

  • [FCA CF] Client dealing (23 Jan 2020 to 17 Mar 2021)
• Steven Anthony Fogel

  IRN SAF01138

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 May 2023)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 May 2023)
  • CF2 Non Executive Director (4 Jun 2014 to 8 Dec 2019)
• William Ladenburg

  IRN WGL01014

  • CF30 Customer (22 Feb 2016 to 26 Sep 2018)
• Yariv Haim

  IRN YXH01147

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF3 Chief Executive (4 Jun 2014 to 8 Dec 2019)
  • CF30 Customer (4 Jun 2014 to 8 Dec 2019)
  • CF1 Director (4 Jun 2014 to 8 Dec 2019)

No changes recorded yet.