Tritax Securities LLP

Date authorised
1 April 2013
Companies House
OC326501
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    72 Broadwick Street
    London
    Westminster
    W1F 9QZ
    UNITED KINGDOM
    Phone
    +4402072901616
    Web
    https://www.tritax.co.uk

  • Complaints Contact

    72 Broadwick Street
    London
    Westminster
    W1F 9QZ
    UNITED KINGDOM
    Phone
    +4402072901616

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Commercial, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Rolling spot forex contract, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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, 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Runs Investment Funds

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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, 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.

  • Bjorn Dominic Hobart

    IRN BDH01036

    • [FCA CF] Significant management (since 31 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (5 Jul 2016 to 8 Dec 2019)
    • CF4 Partner (5 Jul 2016 to 8 Dec 2019)
  • Catherine Emma Fry

    IRN CEF01056

    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • [FCA CF] Significant management (since 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (27 Mar 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Mar 2017 to 8 Dec 2019)
  • Colin Richard Godfrey

    IRN CRG01058

    • [FCA CF] Significant management (since 31 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (AR) (22 Jan 2009 to 1 Jul 2014)
    • CF4 Partner (6 Jan 2009 to 8 Dec 2019)
  • Henry Bell Franklin

    IRN HBF01006

    • [FCA CF] Significant management (since 31 Mar 2021)
    • [FCA CF] Manager of certification employee (since 31 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (AR) (22 Jan 2009 to 1 Jul 2014)
    • CF10 Compliance Oversight (6 Jan 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Jan 2009 to 8 Dec 2019)
    • CF4 Partner (6 Jan 2009 to 8 Dec 2019)
  • Ian Alexander Ross

    IRN IAR01021

    • CF4 Partner (AR) (22 Jan 2009 to 10 Dec 2013)
    • CF30 Customer (6 Jan 2009 to 10 Dec 2013)
    • CF4 Partner (6 Jan 2009 to 10 Dec 2013)
    • Responsible for Insurance Mediation (6 Jan 2009 to 10 Dec 2013)
  • James Angus Dunlop

    IRN JAD01277

    • [FCA CF] Significant management (since 31 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (AR) (22 Jan 2009 to 1 Jul 2014)
    • CF4 Partner (6 Jan 2009 to 8 Dec 2019)
  • Mark Glenn Bridgman Shaw

    IRN MGS01075

    • SMF27 Partner (9 Dec 2019 to 1 Apr 2021)
    • CF4 Partner (AR) (22 Jan 2009 to 1 Jul 2014)
    • CF30 Customer (6 Jan 2009 to 8 Dec 2019)
    • CF4 Partner (6 Jan 2009 to 8 Dec 2019)
  • Petrina Marie Porter

    IRN PMP01048

    • [FCA CF] Significant management (since 31 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (8 Jun 2016 to 30 Sep 2018)
    • CF4 Partner (20 Dec 2011 to 8 Dec 2019)
    • CF29 Significant management (6 Jan 2009 to 15 Dec 2011)
  • Richard Stephen Potton

    IRN RSP01075

    • CF28 Systems and controls (6 Jan 2009 to 21 Jul 2015)
  • Sarah Jayne Lucas

    IRN SJL01230

    • CF30 Customer (6 Jan 2009 to 30 Jun 2010)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.