Date authorised
5 August 2014
Companies House
07366922
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Third Floor
    7 Swallow Street
    London
    W1B 4DE
    UNITED KINGDOM
    Phone
    +442037802455
  • Complaints Contact

    Third Floor
    7 Swallow Street
    London
    W1B 4DE
    UNITED KINGDOM
    Phone
    +442074933631

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, Retail (Investment), Certificates representing certain security, 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 (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" 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, Retail (Investment), Certificates representing certain security, 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 (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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 (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Albert Grant Cole

    IRN AXC01153

    • [FCA CF] Client dealing (since 25 Sep 2023)
  • Andrew Paul Morrison

    IRN APM01232

    • [FCA CF] Client dealing (9 Dec 2019 to 21 Dec 2023)
    • CF30 Customer (2 May 2018 to 8 Dec 2019)
  • Anthony Karl Richardson

    IRN AKR01034

    • SMF9 Chair of the Governing Body (since 10 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF1 Director (5 Aug 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Aug 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (5 Aug 2014 to 8 Dec 2019)
  • Christopher Philip Andrew Young

    IRN CPY01003

    • CF30 Customer (27 Jul 2015 to 16 Jan 2017)
  • Darren Thomas Choppin

    IRN DTC01038

    • CF30 Customer (25 Sep 2017 to 8 Dec 2019)
  • David Charles William Shapton

    IRN DCS01086

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (5 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (5 Aug 2014 to 8 Dec 2019)
  • Guy Stow

    IRN GXS00230

    • [FCA CF] Client dealing (17 Nov 2020 to 28 Jul 2023)
  • James William Pooley

    IRN JXP10681

    • CF30 Customer (23 Jan 2019 to 8 Dec 2019)
  • Konstantinos Ellinas

    IRN KXE00072

    • [FCA CF] Client dealing (18 Feb 2022 to 30 Nov 2023)
  • Margaret Siobhan Sergeant

    IRN MSS01057

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Mar 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (7 Aug 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.