This firm is no longer registered as an appointed representative.

It cannot legally carry out FCA-regulated activities. If anyone is currently dealing with this firm as if it still has permission, treat that as a serious red flag and verify directly with the FCA.

401 Capital Ltd

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FRN: 970219
Last scraped: 1 month ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

15 Stratton Street

London

W1J 8LQ

UNITED KINGDOM

Phone

+443303800679

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Joseph Gerard Donaldson
IRN JGD01060
- Employed By (22 Mar 2022 to 21 Oct 2022)
Lewis Jordan Marks
IRN LXM00444
- Employed By (31 May 2022 to 21 Oct 2022)
Nicholas Cogswell
IRN NXC01219
- Employed By (21 Feb 2022 to 15 Jul 2022)
Timothy John Norton Battye
IRN TXB00343
- Employed By (9 Jun 2022 to 21 Oct 2022)

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.