Alwen Hough Johnson Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Commercial, Retail (Non-Investment Insurance)
Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

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

Rodney Dutton
IRN RXD00177
- SMF3 Executive Director (since 16 Aug 2023)
Roger David Mount
IRN RDM01122
- SMF9 Chair of the Governing Body (9 Mar 2020 to 10 Jun 2025)
- SMF3 Executive Director (9 Dec 2019 to 31 Dec 2024)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)
- CF1 Director (AR) (14 Jan 2005 to 20 Aug 2009)
Roger Norman Alwen
IRN RNA01011
- CF2 Non Executive Director (14 Jan 2005 to 18 Jan 2017)
Simon Shrivell
IRN SXS00508
- [FCA CF] Significant management (since 9 Dec 2020)
Stefano Pavoni
IRN SXP00345
- [FCA CF] CASS oversight function (9 Dec 2020 to 16 Feb 2022)
Stephen Mark Gerken
IRN SMG01138
- CF1 Director (AR) (11 Nov 2009 to 9 Sep 2014)
Stephen Michael Anthony Russ
IRN SXR01731
- CF1 Director (AR) (7 Dec 2010 to 11 Nov 2011)
Stuart Lenton
IRN SXL00260
- [FCA CF] Client dealing (9 Dec 2020 to 16 Feb 2022)
Wesley Absolom
IRN WXA00037
- [FCA CF] Significant management (since 9 Dec 2020)
- [FCA CF] Client dealing (9 Dec 2020 to 16 Feb 2022)

Smaller firms operating under this firm's FCA authorisation.

Unicorn Energy Limited (no longer appointed)
FRN 596629 · Appointed 1 Mar 2013 · Until 31 Dec 2015
Roanoke International Brokers Limited (no longer appointed)
FRN 534793 · Appointed 1 Nov 2010 · Until 11 Nov 2011
Sagewell Ltd (no longer appointed)
FRN 510510 · Appointed 26 Oct 2009 · Until 9 Sep 2014
Egdean Ltd (no longer appointed)
FRN 430158 · Appointed 24 Mar 2005 · Until 1 Apr 2008
ALM 1 Limited (no longer appointed)
FRN 404201 · Appointed 14 Jan 2005 · Until 3 Apr 2006

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

No changes recorded yet.

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.