Wharton Asset Management UK LLP

• Principal Place of Business

  5 Merchant Square

  London

  W2 1AS

  UNITED KINGDOM

  Phone

  +442045681555

• Complaints Contact

  5 Merchant Square

  London

  W2 1AS

  UNITED KINGDOM

  Phone

  +442045681555

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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.

• Stockbroking

  For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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.

• Investment Setup

  For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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.

• . Jada UK Ltd

  IRN XXJ01064

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Nov 2017 to 8 Dec 2019)
• . Wharton Asset Management UK Limited

  IRN XXW01029

  • CF4 Partner (28 Feb 2008 to 17 Oct 2017)
• Aashit Kiran Hirji Shah

  IRN AKS01050

  • CF13 Finance
  • CF27 Investment Management
  • CF11 Money Laundering Reporting (28 Feb 2008 to 29 Jan 2010)
  • CF28 Systems and controls (28 Feb 2008 to 29 Jan 2010)
  • CF30 Customer (28 Feb 2008 to 29 Jan 2010)
  • CF10 Compliance Oversight (28 Feb 2008 to 29 Jan 2010)
• Anupam Vidyabhushan Batura

  IRN AVB01015

  • CF30 Customer (1 Feb 2009 to 12 Feb 2014)
• Caroline Velarde

  IRN CXL01124

  • CF21 Investment Adviser
  • CF30 Customer (28 Feb 2008 to 1 Apr 2008)
• David Charles Prosser

  IRN DCP01038

  • CF21 Investment Adviser
  • CF30 Customer (28 Feb 2008 to 2 Nov 2009)
• Gerard Hammond

  IRN GPH01060

  • CF27 Investment Management
  • CF21 Investment Adviser
  • CF30 Customer (28 Feb 2008 to 11 Sep 2009)
• James Donald McCunn

  IRN JDM01164

  • CF21 Investment Adviser
  • CF30 Customer (28 Feb 2008 to 19 Jun 2008)
• Jean Sebastien Paley

  IRN JSP01100

  • CF21 Investment Adviser
  • CF30 Customer (28 Feb 2008 to 16 Jun 2008)
• Julio Cesar Arriaza Saavedra

  IRN JCA01078

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Nov 2008 to 8 Dec 2019)

No changes recorded yet.