UNION SECURITIES (INTERNATIONAL) LTD

Date authorised
1 April 2013
Companies House
03139504
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Killipool
    Museum Hill
    Haslemere
    Surrey
    GU27 2JR
    UNITED KINGDOM
    Phone
    +4401428648608
    Web
    https://www.union-securities.com

  • Complaints Contact

    Killipool
    Museum Hill
    Haslemere
    Surrey
    GU27 2JR
    UNITED KINGDOM
    Phone
    +447811212047

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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" 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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Investment Setup

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

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Andrew Douglas Morgan

    IRN ADM01096

    • CF21 Investment Adviser (3 Aug 2007 to 22 Aug 2007)
    • CF22 Investment Adviser (Trainee) (11 Jan 2007 to 26 Jul 2007)
  • Angus Bruce McPhail

    IRN ABM01047

    • CF30 Customer (4 May 2016 to 8 Dec 2019)
  • Antony Arthur Armstrong Maitland

    IRN AAM01123

    • CF2 Non Executive Director (5 Dec 2007 to 19 Jul 2013)
  • Carrie Lynn Kathleen Howes

    IRN CXH01252

    • CF21 Investment Adviser (1 Dec 2001 to 29 Apr 2005)
  • Colin Paul Browne

    IRN CPB01072

    • CF11 Money Laundering Reporting (22 Sep 2005 to 2 Oct 2006)
    • CF10 Compliance Oversight (13 Sep 2005 to 2 Oct 2006)
    • CF1 Director (5 Aug 2005 to 31 Dec 2006)
    • CF26 Customer Trading (18 Nov 2004 to 31 Dec 2006)
  • David Charles Bryce Sadler

    IRN DCS01121

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (23 Dec 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (23 Dec 2008 to 31 Mar 2009)
    • CF10 Compliance Oversight (23 Dec 2008 to 8 Dec 2019)
    • CF30 Customer (31 Jul 2008 to 8 Dec 2019)
  • David James Robart-Morgan

    IRN DJR01236

    • CF1 Director (20 Oct 2005 to 25 Oct 2006)
  • David Karl Paxton

    IRN DKP01016

    • CF21 Investment Adviser (19 Mar 2003 to 30 Apr 2003)
  • Denis Edward Chambers

    IRN DEC01042

    • CF21 Investment Adviser (16 May 2005 to 20 Feb 2007)
    • CF23 Corporate Finance Adviser (16 May 2005 to 20 Feb 2007)
  • Duncan John Shirreff

    IRN DJS01415

    • CF30 Customer (4 Jun 2008 to 28 Nov 2011)
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Recent activity

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

No changes recorded yet.