ALFRED HENRY CORPORATE FINANCE LIMITED

Date authorised
1 April 2013
Companies House
03214944
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Francis Barber House
    9 Gough Square
    London
    EC4A 3DG
    UNITED KINGDOM
    Phone
    +4402037720021
    Web
    https://www.alfredhenry.com

  • Complaints Contact

    Francis Barber House
    9 Gough Square
    London
    EC4A 3DG
    ENGLAND
    Phone
    +4402037720021

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, 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, Warrant

    Show 2 limitations
    • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

  • Authorised to Operate

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Life Policy, 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, Warrant

    Show 1 limitation
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

  • Investment Setup

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

    Show 1 limitation
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

Approved individuals

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

  • Alec Jeffery Harvey

    IRN AJH01457

    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Mar 2021)
    • CF10 Compliance Oversight (4 Mar 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Mar 2005 to 8 Dec 2019)
  • Andrew Rockey

    IRN AXR00011

    • CF1 Director (AR) (23 Sep 2016 to 16 Jun 2017)
  • Brian Stockbridge

    IRN BXS01422

    • CF1 Director (AR) (19 May 2014 to 4 Oct 2016)
  • David Keith Warren

    IRN DKW01033

    • CF11 Money Laundering Reporting (7 May 2013 to 24 Feb 2017)
    • CF10 Compliance Oversight (7 May 2013 to 24 Feb 2017)
  • Jonathan Isaacs

    IRN JXI01080

    • SMF16 Compliance Oversight (7 Oct 2022 to 1 Dec 2022)
    • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 19 Nov 2022)
    • CF1 Director (8 Sep 2006 to 8 Dec 2019)
  • Justin Scott Randall

    IRN JSR01083

    • CF1 Director (10 Aug 2005 to 23 Jun 2009)
  • Leo Ernest Vaughan Knifton

    IRN LEK01009

    • CF30 Customer (1 Nov 2007 to 10 May 2011)
    • CF23 Corporate Finance Adviser (26 Jun 2003 to 31 Oct 2007)
  • Malcom Coleman

    IRN MXC01504

    • CF8 Apportionment and Oversight (1 Dec 2001 to 28 Feb 2005)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Feb 2005)
    • CF1 Director (1 Dec 2001 to 7 Dec 2005)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 28 Feb 2005)
  • Nicholas Peter Michaels

    IRN NPM01050

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jan 2023)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (6 Aug 2007 to 31 Oct 2007)
    • CF1 Director (21 Mar 2005 to 8 Dec 2019)
  • Norman Fetterman

    IRN NXF01091

    • SMF16 Compliance Oversight (since 17 Nov 2023)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 7 Feb 2020)
    • CF8 Apportionment and Oversight (8 Mar 2005 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Mar 2005)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 27 Jul 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.