WILLIAMS TRADING EUROPE, LLP

• Principal Place of Business

  Woodside

  Cozens Lane West

  Broxbourne

  Hertfordshire

  EN10 6QL

  UNITED KINGDOM

  Phone

  +4402070096500

  Web

  https://www.wtco.com

• Complaints Contact

  Woodside

  Cozens Lane West

  Broxbourne

  Hertfordshire

  EN10 6QL

  UNITED KINGDOM

  Phone

  +4402070096500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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, Certificates representing certain security, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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.

• . Williams Trading LLC

  IRN XXW01018

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (8 Mar 2006 to 8 Dec 2019)
• Adam Drummond Bandeen

  IRN ADB01141

  • CF10 Compliance Oversight (1 Sep 2011 to 10 Aug 2012)
  • CF11 Money Laundering Reporting (1 Sep 2011 to 20 Jul 2012)
  • CF30 Customer (1 Nov 2007 to 20 Jul 2012)
  • CF4 Partner (3 Jul 2007 to 20 Jul 2012)
  • CF26 Customer Trading (8 Mar 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (8 Mar 2006 to 31 Oct 2007)
• Alfredo Gerard Mujica

  IRN AGM01135

  • CF30 Customer (24 Aug 2010 to 4 Jan 2011)
• David Williams

  IRN DXW01587

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF4 Partner (21 Aug 2012 to 8 Dec 2019)
  • CF1 Director (19 Jan 2010 to 21 Aug 2012)
• Hugh Mark Warrender

  IRN HMW01023

  • CF30 Customer (1 Nov 2007 to 1 Jan 2008)
  • CF8 Apportionment and Oversight (8 Mar 2006 to 31 Oct 2007)
  • CF4 Partner (8 Mar 2006 to 1 Jan 2008)
  • CF3 Chief Executive (8 Mar 2006 to 1 Jan 2008)
  • CF21 Investment Adviser (8 Mar 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (8 Mar 2006 to 1 Jan 2008)
  • CF10 Compliance Oversight (8 Mar 2006 to 1 Jan 2008)
• Jack Stokes

  IRN JXS03851

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Jun 2018 to 8 Dec 2019)
• John Patrick Harris

  IRN JXH01972

  • CF30 Customer (18 Nov 2011 to 5 Dec 2016)
• John Paul Clarke

  IRN JPC01168

  • CF30 Customer (1 Nov 2007 to 27 Jan 2009)
  • CF4 Partner (3 Jul 2007 to 27 Jan 2009)
  • CF26 Customer Trading (3 May 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (3 May 2006 to 31 Oct 2007)
• Luis Ducasse Suarez

  IRN LXD01241

  • CF30 Customer (1 Nov 2007 to 5 Jul 2011)
  • CF22 Investment Adviser (Trainee) (7 Sep 2006 to 31 Oct 2007)
• Paul Donnelly

  IRN PXD01281

  • CF30 Customer (3 Jan 2008 to 23 Jan 2012)

No changes recorded yet.