THOMAS GRANT & COMPANY LIMITED

• Principal Place of Business

  40a Friar Lane

  Leicester

  Leicestershire

  LE1 5RA

  UNITED KINGDOM

  Phone

  +4401162255500

  Web

  https://www.thomasgrant.co.uk

• Complaints Contact

  40a Friar Lane

  Leicester

  Leicestershire

  LE1 5RA

  UNITED KINGDOM

  Phone

  +441162255500

• 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, Retail (Investment), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Unit

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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, 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), 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, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• Stockbroking

  For Eligible Counterparty, 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), 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, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Holds Your Assets

  For Eligible Counterparty, 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), 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, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Jane Elizabeth Donald

  IRN JED01059

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Kevin Dawson

  IRN KXD00246

  • SMF3 Executive Director (since 4 Dec 2023)
  • [FCA CF] CASS oversight function (since 9 Aug 2022)
• Kim Hung Ip

  IRN KHI01001

  • CF27 Investment Management (1 Dec 2001 to 1 Oct 2004)
  • CF26 Customer Trading (1 Dec 2001 to 1 Oct 2004)
• Louisa Mary Storer

  IRN LMS01036

  • [FCA CF] Client dealing (since 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Malcolm Paul Smith

  IRN MPS01066

  • CF27 Investment Management (5 Jan 2004 to 18 Jun 2004)
  • CF21 Investment Adviser (5 Jan 2004 to 18 Jun 2004)
  • CF24 Pension Transfer Specialist (5 Jan 2004 to 18 Jun 2004)
  • CF26 Customer Trading (5 Jan 2004 to 18 Jun 2004)
• Martin John Andrews

  IRN MJA01074

  • CF27 Investment Management (1 Dec 2001 to 19 May 2003)
  • CF26 Customer Trading (1 Dec 2001 to 19 May 2003)
• Patrick Michael Waldron

  IRN PMW01082

  • [FCA CF] Client dealing (since 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • CF26 Customer Trading (26 Jun 2006 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 26 Jun 2006)
• Paul Anthony Brouwer

  IRN PAB01195

  • CF26 Customer Trading (1 Dec 2001 to 12 May 2003)
  • CF27 Investment Management (1 Dec 2001 to 12 May 2003)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 12 May 2003)
• Paul Brian Douglas Murray

  IRN PBM01026

  • CF30 Customer (1 Nov 2007 to 1 May 2009)
  • CF26 Customer Trading (15 Jul 2002 to 31 Oct 2007)
  • CF27 Investment Management (15 Jul 2002 to 31 Oct 2007)
• Richard Edward Allen

  IRN REA01017

  • CF21 Investment Adviser (7 Jan 2004 to 9 Feb 2007)
  • CF26 Customer Trading (7 Jan 2004 to 9 Feb 2007)
  • CF22 Investment Adviser (Trainee) (13 Aug 2002 to 7 Jan 2004)

No changes recorded yet.