Date authorised
1 April 2013
Companies House
00156938
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 35 110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +442076264521
  • Complaints Contact

    Level 35 110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +442076264521

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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract

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

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Holds Your Assets

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract

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

Approved individuals

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

  • Joanne Martin

    IRN JXM01371

    • SMF16 Compliance Oversight (since 13 Jun 2023)
  • Joanne Vilia Rackley

    IRN JVR01010

    • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2002)
  • John Duncan Mills

    IRN JDM01134

    • CF30 Customer (11 Oct 2017 to 30 Apr 2020)
  • John James Stedman

    IRN JJS01076

    • CF21 Investment Adviser (14 Nov 2005 to 22 May 2007)
    • CF26 Customer Trading (14 Nov 2005 to 22 May 2007)
  • John Michael Burchett

    IRN JXB00557

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2023)
  • John Rodney Nimmons

    IRN JRN01024

    • CF10 Compliance Oversight (1 Dec 2001 to 2 Apr 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 2 Apr 2005)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 2 Apr 2005)
    • CF1 Director (1 Dec 2001 to 2 Apr 2005)
  • Jolynn Chew

    IRN JXC00505

    • [FCA CF] Material risk taker (since 29 Dec 2021)
    • [FCA CF] Manager of certification employee (since 29 Dec 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
  • Jonathan Mark Prince

    IRN JMP01188

    • CF30 Customer (1 Nov 2007 to 8 Jan 2010)
    • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
    • CF26 Customer Trading (15 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Mar 2006 to 26 Jun 2006)
  • Joseph Dawe

    IRN JXD00977

    • [FCA CF] Client dealing (since 8 Jan 2025)
  • Julius de Watteville

    IRN JXD00875

    • [FCA CF] Client dealing (6 Mar 2024 to 31 Oct 2024)

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.