WMG Advisors LLP

Date authorised
1 April 2013
Companies House
OC309503
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

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, 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

    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, 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

    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.

  • 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

    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, 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

    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.

  • 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

    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.

  • 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

    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.

  • Paresh Patel

    IRN PXP01106

    • CF27 Investment Management (2 Sep 2005 to 2 May 2006)
  • Paresh Raichand Shah

    IRN PRS01102

    • CF29 Significant management (1 Nov 2007 to 30 Jan 2009)
    • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
    • CF4 Partner (2 Jan 2007 to 30 Jan 2009)
    • CF19 Significant Mgt (Financial Resources) (12 Jun 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (9 Aug 2005 to 31 Oct 2007)
  • Peter Mark Richardson

    IRN PMR01048

    • CF4 Partner (25 May 2005 to 18 Dec 2006)
    • CF21 Investment Adviser (25 May 2005 to 31 Dec 2006)
    • CF27 Investment Management (25 May 2005 to 31 Dec 2006)
  • Pieter Van Leuven

    IRN PXV01047

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (4 Aug 2010 to 8 Dec 2019)
    • CF3 Chief Executive (2 Aug 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Aug 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Aug 2010 to 8 Dec 2019)
    • CF28 Systems and controls (26 Sep 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (4 Aug 2006 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (3 Jan 2006 to 31 Oct 2007)
  • Richard Edgar Greer

    IRN REG01030

    • CF30 Customer (1 Nov 2007 to 19 Aug 2008)
    • CF21 Investment Adviser (8 Sep 2005 to 31 Oct 2007)
  • Richard Nigel Hawken

    IRN RNH01028

    • CF30 Customer (16 Nov 2016 to 16 Apr 2018)
  • Russell Treharne Jones

    IRN RTJ01009

    • [FCA CF] Client dealing (19 Mar 2021 to 30 Sep 2022)
    • [FCA CF] Material risk taker (19 Mar 2021 to 30 Sep 2022)
    • CF30 Customer (9 Sep 2014 to 8 Dec 2019)
  • Sandor Anne Mathias De Jasay

    IRN SAD01046

    • CF30 Customer (20 Oct 2016 to 6 Nov 2018)
  • Sarah Jane Veasey

    IRN SJV01015

    • CF21 Investment Adviser (12 Sep 2005 to 25 Jan 2007)
  • Scott Michael Henderson

    IRN SMH01092

    • CF30 Customer (1 Nov 2007 to 2 Nov 2009)
    • CF21 Investment Adviser (14 Nov 2005 to 31 Oct 2007)
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Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.