Date authorised
1 April 2013
Companies House
02905244
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    16 Palace St
    -
    London
    SW1E 5JD
    UNITED KINGDOM
    Phone
    +442073467000
  • Complaints Contact

    16 Palace St
    -
    London
    SW1E 5JD
    UNITED KINGDOM
    Phone
    +442073467000

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, Debenture, Rights to or interests in investments (Security), Share, Unit, 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.

Approved individuals

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

  • Claire Elizabeth Smith

    IRN CES01060

    • CF21 Investment Adviser (28 Apr 2005 to 20 Jun 2007)
  • Claire Pascale Jeanne Westcott

    IRN CPW01087

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (2 Feb 2007 to 31 Oct 2007)
  • Clare Cuming

    IRN CXH01545

    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (9 Aug 2012 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (22 Feb 2006 to 31 Oct 2007)
  • Clare Helen Cotton

    IRN CHC01054

    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2023)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2023)
    • CF1 Director (23 Sep 2015 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF15 Internal Audit (7 Dec 2006 to 31 Oct 2007)
    • CF13 Finance (7 Dec 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (16 May 2006 to 4 Sep 2006)
  • Clayton Raymond

    IRN CXR00387

    • [FCA CF] Client dealing (since 18 Oct 2021)
  • Constance Blake

    IRN CXB00766

    • [FCA CF] Client dealing (since 20 Feb 2023)
  • Constantina Papaconstantinou

    IRN CXP00463

    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Constantina Souames

    IRN CXS00638

    • [FCA CF] Client dealing (since 8 Mar 2021)
  • Constantinos Rigas

    IRN CXR00391

    • [FCA CF] Client dealing (21 Oct 2020 to 14 Jul 2023)
  • Constantinos Roussos

    IRN CXR00406

    • [FCA CF] Client dealing (since 17 Feb 2022)

Recent activity

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

No changes recorded yet.