Wave Securities LLP

Date authorised
11 August 2014
Companies House
OC388040
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    48 Warwick Streeet
    London
    W1B 5AW
    UNITED KINGDOM
    Phone
    +442033070350

  • Complaints Contact

    48 Warwick Street
    London
    W1B 5AW
    UNITED KINGDOM
    Phone
    +442033070350

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

  • . Beta Investments Limited

    IRN XXB01151

    • CF4 Partner (11 Aug 2014 to 14 May 2015)
  • . Park HIll Trading Limited

    IRN XXP01195

    • CF4 Partner (11 Aug 2014 to 14 May 2015)
  • Filippo Maria Cortesi

    IRN FMC01017

    • SMF27 Partner (9 Dec 2019 to 28 May 2021)
    • CF4 Partner (11 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (11 Aug 2014 to 14 Nov 2017)
  • Giovanni Gaudenzi

    IRN GXG01134

    • CF1 Director (AR) (16 Nov 2016 to 22 Jun 2017)
    • CF30 Customer (16 Nov 2016 to 22 Jun 2017)
  • João Bosco Olazabal Cunha Reis

    IRN JBO01020

    • [FCA CF] Client dealing (since 18 Mar 2020)
    • CF30 Customer (23 Oct 2015 to 8 Dec 2019)
  • Luca Borroni

    IRN LXB01492

    • CF30 Customer (24 Sep 2021 to 5 Sep 2022)
    • CF1 Director (AR) (24 Sep 2021 to 5 Sep 2022)
  • Marco Piccioni

    IRN MXP01266

    • CF1 Director (AR) (5 Jun 2019 to 4 Nov 2021)
    • CF30 Customer (5 Jun 2019 to 4 Nov 2021)
  • Massimiliano Pero

    IRN MXP01288

    • CF30 Customer (15 Nov 2017 to 8 Dec 2019)
  • Nicola Bonito-Oliva

    IRN NXB01166

    • [FCA CF] Client dealing (since 18 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (11 Aug 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (11 Aug 2014 to 8 Dec 2019)
    • CF4 Partner (11 Aug 2014 to 8 Dec 2019)
  • Ricardo Tomas Lourenco

    IRN RTL01027

    • CF4 Partner (6 Jul 2015 to 26 Feb 2016)
    • CF30 Customer (6 May 2015 to 20 Apr 2017)

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.