Sucden Financial Limited

• Principal Place of Business

  Sucden Financial Ltd

  60 Great Tower Street

  London

  City Of London

  EC3R 5AZ

  UNITED KINGDOM

  Phone

  +4402032075000

  Web

  https://www.sucdenfinancial.com

• Complaints Contact

  Sucden Financial Ltd

  60 Great Tower Street

  London

  City Of London

  EC3R 5AZ

  UNITED KINGDOM

  Phone

  +4402032075000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, 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

  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.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• 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 Eligible Counterparty, Professional, Binary Bet, 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

  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.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Binary Bet, 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, Life Policy, 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 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.

• Stockbroking

  For Eligible Counterparty, Professional, Binary Bet, 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

  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.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Binary Bet, 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

  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.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Consumer Hire

• Consumer Hire Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Binary Bet, 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

  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.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Binary Bet, 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, Life Policy, 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 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.

• Ralph James Hawes

  IRN RJH01184

  • CF30 Customer (1 Nov 2007 to 23 Nov 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Rebecca Elizabeth Levett

  IRN REL01048

  • CF30 Customer (9 Sep 2014 to 20 Nov 2015)
• Renzo Arturo Mejia Gorriti

  IRN RAM01149

  • CF21 Investment Adviser (14 Jan 2004 to 27 Sep 2005)
  • CF22 Investment Adviser (Trainee) (16 Dec 2003 to 14 Jan 2004)
• Richard Martin Hill

  IRN RMH01103

  • CF30 Customer (1 Nov 2007 to 7 Nov 2007)
  • CF21 Investment Adviser (7 Mar 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Nov 2004 to 7 Mar 2005)
• Richard Paul Kuras

  IRN RPK01015

  • CF1 Director (15 Oct 2008 to 10 Nov 2009)
  • CF30 Customer (16 Sep 2008 to 10 Nov 2009)
• Richard Thomas Brunton

  IRN RTB01044

  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
  • CF30 Customer (1 Dec 2015 to 8 Dec 2019)
• Robert Alexander Cantle

  IRN RAC01212

  • CF30 Customer (1 Nov 2007 to 17 Dec 2009)
  • CF21 Investment Adviser (27 Feb 2006 to 31 Oct 2007)
• Robert James

  IRN RXJ01081

  • CF10a CASS Oversight function (1 Oct 2011 to 6 Jul 2015)
  • CF28 Systems and controls (1 Nov 2007 to 23 Oct 2015)
  • CF1 Director (1 Dec 2001 to 23 Oct 2015)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
• Robert John Noyce

  IRN RJN01059

  • [FCA CF] Manager of certification employee (since 15 Jan 2025)
  • [FCA CF] Client dealing (since 15 Jan 2025)
• Robert Tedesco

  IRN RXT01132

  • [FCA CF] Client dealing (14 Oct 2020 to 18 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 16 Aug 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• ALPHA FX (no longer appointed)

  FRN 709845 · Appointed 10 Jul 2015 · Until 25 Dec 2015

No changes recorded yet.