The Seaport Group Europe LLP

• Principal Place of Business

  The Seaport Group Europe LLP

  Charles House 5-11

  Regent Street

  London

  Westminster

  SW1Y 4LR

  UNITED KINGDOM

  Phone

  +4402076149100

  Web

  https://www.seaportglobal.com

• Complaints Contact

  The Seaport Group Europe LLP

  Charles House 5-11

  Regent Street

  London

  Westminster

  SW1Y 4LR

  UNITED KINGDOM

  Phone

  +4402076149100

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, 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 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), Share, Spread Bet, 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 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), Share, Spread Bet, 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, Certificates representing certain security, 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), Share, Spread Bet, 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 to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, 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.

• Daniel James Mullineaux

  IRN DJM01576

  • [FCA CF] Client dealing (1 May 2023 to 2 May 2025)
• David Arthur Lofts

  IRN DXL01182

  • CF30 Customer (2 Jul 2015 to 12 Jun 2017)
• David Michael Smith

  IRN DMS01266

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (5 Jan 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Jan 2016 to 8 Dec 2019)
• David Thomas Connor

  IRN DTC01043

  • CF30 Customer (1 Feb 2017 to 1 Nov 2018)
• Diego Affo

  IRN DXA01372

  • [FCA CF] Client dealing (since 6 Jun 2023)
• Edouard Patrick Stirling

  IRN EPS01010

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Mar 2016 to 8 Dec 2019)
• Eduardo Villaverde Linares

  IRN EXV01035

  • CF30 Customer (22 Jan 2013 to 17 Jan 2014)
• Edward Michael Philip Cahill

  IRN EXC01075

  • CF30 Customer (30 Apr 2012 to 9 Apr 2013)
• Elena Ciampichetti

  IRN EXC01073

  • CF30 Customer (23 Aug 2011 to 4 Jul 2013)
• Evan Li Ting Kuan

  IRN EXL00223

  • [FCA CF] Client dealing (since 1 May 2024)

• Sea Port Group Securities (Europe) LLP (no longer appointed)

  FRN 550149 · Appointed 9 May 2011 · Until 1 Jun 2011

No changes recorded yet.