WMG Advisors LLP

• Principal Place of Business

  Bond Street House

  3rd floor

  14 Clifford Street

  London

  W1S 4JU

  UNITED KINGDOM

  Phone

  +4402074918844

  Web

  https://www.wmgfunds.com

• Complaints Contact

  Bond Street House

  3rd Floor

  14 Clifford Street

  London

  W1S 4JU

  UNITED KINGDOM

  Phone

  +442074918844

• 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, 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, Structured Deposits, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• . Wmg Funds Limited

  IRN XXW01015

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (25 May 2005 to 8 Dec 2019)
• Adam Carl Waldman

  IRN ACW01077

  • [FCA CF] Client dealing (since 18 Mar 2021)
  • [FCA CF] Manager of certification employee (since 18 Mar 2021)
  • [FCA CF] Material risk taker (since 18 Mar 2021)
  • CF30 Customer (3 Sep 2014 to 8 Dec 2019)
• Adam Lee Greenberg

  IRN ALG01044

  • [FCA CF] Client dealing (since 18 Mar 2021)
  • [FCA CF] Material risk taker (since 18 Mar 2021)
  • CF30 Customer (8 Sep 2014 to 8 Dec 2019)
• Adrian Valenzuela

  IRN AXV01098

  • CF21 Investment Adviser (2 Sep 2005 to 20 Apr 2006)
• Alan Martin Greenberg

  IRN AMG01248

  • CF30 Customer (30 Apr 2015 to 2 Sep 2016)
• Andrew Bogen Caplan

  IRN AXC01699

  • CF21 Investment Adviser (13 Jun 2005 to 1 Aug 2006)
• Bechara Habib Madi

  IRN BHM01011

  • CF27 Investment Management (6 Sep 2005 to 31 Aug 2006)
• Brett Jeremiah Patrick Desmond

  IRN BPD01014

  • CF30 Customer (1 Nov 2007 to 2 Nov 2009)
  • CF21 Investment Adviser (21 Jul 2005 to 31 Oct 2007)
• Brian Gerard Kelly

  IRN BGK01006

  • [FCA CF] Client dealing (since 10 Mar 2021)
  • [FCA CF] Material risk taker (since 10 Mar 2021)
  • [FCA CF] Manager of certification employee (since 10 Mar 2021)
  • CF30 Customer (12 Sep 2014 to 8 Dec 2019)
  • CF21 Investment Adviser (25 May 2005 to 12 Dec 2005)
  • CF27 Investment Management (25 May 2005 to 12 Dec 2005)
• Brian Terence Modlock

  IRN BTM01010

  • [FCA CF] Client dealing (18 Sep 2023 to 23 Feb 2026)

No changes recorded yet.