Upvest Securities Ltd

Date authorised
2 October 2024
Companies House
15494796
Last scraped
5 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Upvest Securities Ltd
    44-46 New Inn Yard
    London
    EC2A 3EY
    UNITED KINGDOM
    Phone
    +442032860688
    Web
    https://upvest.co

  • Complaints Contact

    Upvest Securities Ltd
    44-46 New Inn Yard
    London
    EC2A 3EY
    UNITED KINGDOM
    Phone
    +442032860688

What this firm is allowed to do

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

  • 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, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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

  • Arranges Asset Safekeeping

    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
    • · Investment activity in "rights to or interests in investments (security)" 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

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

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

  • Holds Your Assets

    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
    • · Investment activity in "rights to or interests in investments (security)" 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
    • · 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.

  • Khanh Dang Ngo

    IRN KXN00170

    • SMF3 Executive Director (2 Oct 2024 to 30 Nov 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (2 Oct 2024 to 30 Nov 2025)
    • SMF16 Compliance Oversight (2 Oct 2024 to 30 Nov 2025)
  • Prina Patel

    IRN PXP00441

    • SMF3 Executive Director (since 1 Dec 2025)
    • SMF16 Compliance Oversight (since 1 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Dec 2025)
  • Symmie Marcelle Swil

    IRN SMS01253

    • SMF3 Executive Director (since 19 Jun 2025)
    • SMF1 Chief Executive (since 19 Jun 2025)
  • Tobias Auferoth

    IRN TXA01215

    • SMF3 Executive Director (since 2 Oct 2024)

Recent activity

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

No changes recorded yet.