Date authorised
6 April 2020
Companies House
12371727
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2 Clarkes Way
    Welton
    Daventry
    Northamptonshire
    NN11 2JJ
    UNITED KINGDOM
    Phone
    +4403330116134
  • Complaints Contact

    2 Clarkes Way
    Welton
    Daventry
    Northamptonshire
    NN11 2JJ
    UNITED KINGDOM
    Phone
    +4403330116134

What this firm is allowed to do

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

  • 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), 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, 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), 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, 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), 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.

  • Adrian Jolliffe

    IRN AXJ01127

    • 3. Giving personal recommendations on derivatives
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Client dealing (since 21 Jun 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
    • SMF16 Compliance Oversight (since 6 Apr 2020)
    • SMF3 Executive Director (since 24 Mar 2020)
  • Clive Anthony Eccleston

    IRN CAE01034

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Client dealing (since 21 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 1 May 2021)

Recent activity

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

No changes recorded yet.