S.W. MITCHELL CAPITAL LLP

• Principal Place of Business

  Suite 3a Princes House

  38 Jermyn Street

  London

  SW1Y 6DN

  UNITED KINGDOM

  Phone

  +4402072903588

  Web

  https://www.swmitchellcapital.com

• Complaints Contact

  Suite 3a Princes House

  38 Jermyn Street

  London

  SW1Y 6DN

  UNITED KINGDOM

  Phone

  +4402072903588

• Investment Advice (no pensions)

  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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Arranges Asset Safekeeping

  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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Private Investment Funds

• Manages Your Portfolio

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

  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.

• Nadia Manzoor

  IRN NXM02045

  • [FCA CF] Manager of certification employee (2 Dec 2020 to 1 Apr 2022)
  • SMF27 Partner (9 Dec 2019 to 1 Apr 2022)
  • CF30 Customer (1 Jan 2016 to 8 Dec 2019)
  • CF4 Partner (1 Jan 2016 to 8 Dec 2019)
• Oliver James St Goar Kelton

  IRN OJK00002

  • [FCA CF] Client dealing (since 11 Sep 2023)
• Pascal Hautcoeur

  IRN PXH00224

  • [FCA CF] Client dealing (since 2 Dec 2020)
• Piers Nestler

  IRN PXN00144

  • [FCA CF] Client dealing (since 29 Apr 2024)
• Stefan Wey

  IRN SXW00410

  • [FCA CF] Client dealing (since 1 Nov 2023)
• Stephen Thomas

  IRN SXT01146

  • [FCA CF] Manager of certification employee (since 2 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
  • CF17 Significant Mgt (Other Business Operations) (21 Sep 2005 to 31 Oct 2007)
• Stuart Walter Mitchell

  IRN SWM01034

  • [FCA CF] Client dealing (since 4 Sep 2023)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (26 Aug 2005 to 3 Jan 2006)
  • CF4 Partner (26 Aug 2005 to 8 Dec 2019)
  • CF3 Chief Executive (26 Aug 2005 to 8 Dec 2019)
  • CF27 Investment Management (26 Aug 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (26 Aug 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (26 Aug 2005 to 3 Jan 2006)
  • CF8 Apportionment and Oversight (26 Aug 2005 to 31 Oct 2007)
• Susannah Mary Matilda de Jager

  IRN SXD02003

  • CF3 Chief Executive (2 Oct 2018 to 5 Dec 2019)
  • CF29 Significant management (4 Jun 2015 to 5 Dec 2019)
  • CF4 Partner (11 Feb 2015 to 5 Dec 2019)

No changes recorded yet.