Umbra Capital Partners LLP

Date authorised
1 May 2020
Companies House
OC425068
Last scraped
6 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    10 Lower James Street
    London
    W1F 9EL
    UNITED KINGDOM
    Phone
    +442074601030
    Web
    https://www.umbracapital.com

  • Complaints Contact

    10 Lower James Street
    London
    W1F 9EL
    UNITED KINGDOM
    Phone
    +442074601030

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, 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), Personal pension scheme, 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.

  • 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, Retail (Investment), 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), Personal pension scheme, 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.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, 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.

  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, 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.

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, 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.

  • Manages Your Portfolio

    For Professional, Retail (Investment), 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), Personal pension scheme, 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.

  • PATRICK PETER HARGUTT

    IRN PPH01026

    • CF4 Partner (AR) (26 Jan 2022 to 11 Nov 2022)
    • CF30 Customer (9 Feb 2021 to 11 Nov 2022)
  • Ross John Balfour Osborn

    IRN RJO01074

    • [FCA CF] Client dealing (4 Apr 2024 to 14 Mar 2025)
  • Simon Andrew Mathisen

    IRN SAM01178

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Nov 2024)
    • SMF16 Compliance Oversight (since 15 Nov 2024)
    • SMF27 Partner (since 15 Nov 2024)
  • Simon William Lyall-Cottle

    IRN SWC01052

    • CF4 Partner (AR) (11 Feb 2022 to 11 Nov 2022)
    • CF30 Customer (2 Feb 2021 to 11 Nov 2022)
    • CF1 Director (AR) (2 Feb 2021 to 11 Feb 2022)
    • CF3 Chief Executive (AR) (2 Feb 2021 to 11 Nov 2022)
  • Steven Andrew Clark

    IRN SAC01152

    • SMF27 Partner (1 May 2020 to 17 Oct 2023)
  • Thomas William Martin Makey

    IRN TXM16187

    • [FCA CF] Material risk taker (since 28 Nov 2024)
    • [FCA CF] Client dealing (since 28 Nov 2024)
    • SMF27 Partner (since 1 Nov 2024)
  • Tracy Salomone

    IRN TXS03561

    • SMF16 Compliance Oversight (24 May 2021 to 3 Jun 2022)
    • SMF27 Partner (24 May 2021 to 3 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (24 May 2021 to 3 Jun 2022)
    • [FCA CF] Client dealing (18 Jan 2021 to 3 Jun 2022)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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