VANGUARD ASSET MANAGEMENT, LTD.

• Principal Place of Business

  4th Floor

  The Walbrook Building

  25 Walbrook

  London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +442037535600

  Web

  https://www.vanguardinvestor.co.uk

• Complaints Contact

  4th Floor

  The Walbrook Building

  25 Walbrook

  London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +447858763169

• 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, 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, Spread Bet, 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, 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, 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.

• 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, 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, 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, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

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  • · The firm is limited to dealing as a principal in investments in the rights under the personal pension scheme(s) that it operates.
  • · 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.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• 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, 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, 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.

• 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, 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, 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.

• Targeted Money Guidance

  For Retail (Investment), Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

  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.

• Thomas Bartolacci

  IRN TXB01562

  • CF30 Customer (20 Jan 2014 to 1 Oct 2014)
• Thomas George Hobbs

  IRN TGH01020

  • [FCA CF] Client dealing (26 Oct 2021 to 30 May 2025)
  • CF30 Customer (17 Nov 2014 to 8 Dec 2019)
• Thomas Gerardus Peek

  IRN TGP01022

  • CF28 Systems and controls (22 Apr 2013 to 25 Jul 2014)
• Thomas James Lloyd

  IRN TJL01123

  • SMF5 Head of Internal Audit (since 5 Oct 2022)
• Thomas Kieldsen

  IRN TXK01692

  • [FCA CF] Client dealing (21 Dec 2020 to 26 Jun 2023)
  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 26 Jun 2023)
• Thomas Mark Rampulla

  IRN TMR01039

  • CF3 Chief Executive (24 Jan 2011 to 11 May 2015)
  • CF1 Director (24 Jan 2011 to 11 May 2015)
• Thomas Merz

  IRN TXM02143

  • SMF18 Other Overall Responsibility (9 Dec 2019 to 17 Aug 2020)
  • CF29 Significant management (30 Aug 2017 to 8 Dec 2019)
• Thomas William Jobe Philpot

  IRN TXP00089

  • [FCA CF] Client dealing (since 10 Nov 2021)
  • [FCA CF] Functions requiring qualifications (15 Jan 2021 to 10 Nov 2021)
• Timothy Christopher Ross Brown

  IRN TXB07136

  • CF30 Customer (12 Oct 2018 to 13 Nov 2018)
• Timothy Clavin

  IRN TXC01668

  • CF30 Customer (16 Jun 2018 to 23 Sep 2019)

No changes recorded yet.