AMBON BROKERS 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
Credit Brokering
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.

Simon Robert Slater Worrall
IRN SRW01057
- CF1 Director (14 Jan 2005 to 30 May 2008)
Stephen Jonathan Vickers
IRN SJV01045
- Responsible for Insurance Distribution (1 Oct 2018 to 13 Feb 2019)
- Responsible for Insurance Mediation (30 Aug 2016 to 30 Sep 2018)
- CF1 Director (15 Aug 2016 to 13 Feb 2019)
Timothy Austin Lissenden
IRN TAL01035
- Responsible for Insurance Mediation (20 Sep 2007 to 14 Feb 2012)
- CF8 Apportionment and Oversight (20 Sep 2007 to 31 Mar 2009)
- CF1 Director (14 Jan 2005 to 14 Feb 2012)
Tobias Crispian David Esser
IRN TCE01007
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
- SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
- SMF1 Chief Executive (9 Dec 2019 to 9 Dec 2019)
- CF1 Director (16 Jul 2019 to 8 Dec 2019)
- CF3 Chief Executive (16 Jul 2019 to 8 Dec 2019)

Smaller firms operating under this firm's FCA authorisation.

Michael Parton (no longer appointed)
FRN 839493 · Appointed 4 Apr 2019 · Until 22 Jul 2019
Overark Ltd (no longer appointed)
FRN 757910 · Appointed 21 Dec 2018 · Until 25 Jan 2021
Schlossmacher Consult Limited (no longer appointed)
FRN 827348 · Appointed 29 Nov 2018 · Until 16 Dec 2021
AMMIS RISK SOLUTIONS LIMITED (no longer appointed)
FRN 720144 · Appointed 6 Apr 2018 · Until 16 Dec 2021
Rising Edge Ltd (no longer appointed)
FRN 656205 · Appointed 23 Feb 2018 · Until 2 Mar 2020
TEK STRUCTURED FINANCE LTD (no longer appointed)
FRN 798992 · Appointed 19 Jan 2018 · Until 25 Apr 2019
Renaissance Ventures Limited (no longer appointed)
FRN 796175 · Appointed 11 Dec 2017 · Until 5 Nov 2018
Marcos Vivan (no longer appointed)
FRN 795282 · Appointed 29 Nov 2017 · Until 31 Oct 2018
Blinkinnovation Ltd (no longer appointed)
FRN 764957 · Appointed 21 Nov 2016 · Until 21 Dec 2017
so-sure limited (no longer appointed)
FRN 744729 · Appointed 20 Apr 2016 · Until 1 Nov 2019

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.