Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
2 Clarkes WayWeltonDaventryNorthamptonshireNN11 2JJUNITED KINGDOM- Phone
- +4403330116134
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Complaints Contact
2 Clarkes WayWeltonDaventryNorthamptonshireNN11 2JJUNITED KINGDOM- Phone
- +4403330116134
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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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
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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.
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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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 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.
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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 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.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
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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)
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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.