TAP Securities Ltd

Date authorised
25 April 2014
Companies House
08715198
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Suite 7
    Denham Building
    27 St. James's Street
    London
    SW1A 1HA
    UNITED KINGDOM
    Phone
    +12129099010
    Web
    https://www.tapadvisors.com

  • Complaints Contact

    Suite 7
    27 St. James's Street
    Denham Building
    London
    SW1A 1HA
    UNITED KINGDOM
    Phone
    +12129099010

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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
    • · 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

    Show 1 limitation
    • · 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, 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
    • · 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, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Toby Sebastian Pearce

    IRN TSP01010

    • SMF3 Executive Director (since 10 Feb 2022)
    • [FCA CF] Client dealing (since 1 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2020)
    • CF11 Money Laundering Reporting (17 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Jul 2019 to 8 Dec 2019)
    • CF1 Director (20 Sep 2017 to 10 Oct 2019)
    • CF30 Customer (20 Sep 2017 to 8 Dec 2019)
  • William Clark Kennish

    IRN WCK01000

    • CF1 Director (25 Apr 2014 to 30 Aug 2017)
    • CF10 Compliance Oversight (25 Apr 2014 to 30 Aug 2017)
    • CF11 Money Laundering Reporting (25 Apr 2014 to 30 Aug 2017)
    • CF30 Customer (25 Apr 2014 to 30 Aug 2017)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.