Thornbridge Investment Management LLP

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FRN: 713859
Date authorised: 1 February 2016
Companies House: OC398922
Last scraped: 1 week ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

13 Austin Friars

London

EC2N 2HE

UNITED KINGDOM

Phone

+442039724510

Web

http://www.thornbridge.com
Complaints Contact

13 Austin Friars

London

EC2N 2HE

UNITED KINGDOM

Phone

+442039724510

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, 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, Emissions Allowance, 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), 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, Structured Deposits, 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, 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, Emissions Allowance, 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), 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, Structured Deposits, 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, 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, Emissions Allowance, 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
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, 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, Emissions Allowance, 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, Structured Deposits, 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), 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, Emissions Allowance, 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), 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, Structured Deposits, 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.
Manages Your Portfolio

For 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, Emissions Allowance, 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), 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, Structured Deposits, 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.

Approved individuals

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

James Alexander Davis
IRN JAD01118
- CF1 Director (AR) (21 May 2019 to 1 Aug 2022)
- CF30 Customer (21 May 2019 to 1 Aug 2022)
James Andrew Mackenzie Bingham
IRN JAB01613
- CF30 Customer (30 Mar 2017 to 7 Feb 2018)
James Bassam Farha
IRN JXF08129
- CF30 Customer (9 Nov 2018 to 31 Mar 2020)
- CF1 Director (AR) (9 Nov 2018 to 31 Mar 2020)
James Bedford
IRN JAB01206
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 14. Managing investments
- [FCA CF] Client dealing (since 9 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (AR) (22 Feb 2022 to 23 Mar 2022)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2020 to 10 Dec 2020)
- CF1 Director (AR) (14 Dec 2016 to 20 Dec 2016)
- CF4 Partner (1 Feb 2016 to 8 Dec 2019)
- CF30 Customer (1 Feb 2016 to 13 Jan 2022)
James Bignell
IRN JXB02865
- CF30 Customer (since 6 Nov 2023)
James Carter
IRN JXC01470
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- CF1 Director (AR) (since 15 Jan 2021)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2020)
- CF30 Customer (since 7 Apr 2020)
James Chiswell
IRN JXC03249
- CF30 Customer (since 3 Oct 2024)
- CF1 Director (AR) (since 3 Oct 2024)
James David Leavesley
IRN JDL01130
- CF1 Director (AR) (7 Mar 2018 to 15 Nov 2019)
James Edward Maunsell-Thomas
IRN JEM01126
- CF30 Customer (20 Feb 2020 to 4 Mar 2020)
James Julian Frere-Scott
IRN JJF01076
- CF4 Partner (AR) (17 Jan 2019 to 17 Nov 2020)
- CF30 Customer (17 Jan 2019 to 17 Nov 2020)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Blackbird Capital Partners Limited (no longer appointed)
FRN 755635 · Appointed 10 Aug 2016 · Until 1 Jul 2019
KA Advisers limited (no longer appointed)
FRN 751728 · Appointed 4 Jul 2016 · Until 11 Jul 2018
Swiftsure Partners Limited (no longer appointed)
FRN 750321 · Appointed 17 Jun 2016 · Until 26 Jun 2019
Etchilhampton Limited (no longer appointed)
FRN 745628 · Appointed 29 Apr 2016 · Until 1 Mar 2017
QLO Capital Management Limited (no longer appointed)
FRN 745122 · Appointed 25 Apr 2016 · Until 22 Nov 2016
Bricklane Investment Services Ltd (no longer appointed)
FRN 743370 · Appointed 7 Apr 2016 · Until 8 Jun 2016
Dana capital management LLP (no longer appointed)
FRN 735663 · Appointed 8 Feb 2016 · Until 3 Oct 2016

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.