Date authorised
1 April 2013
Companies House
03576013
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    55 Drury Lane
    4th Floor
    London
    WC2B 5SQ
    UNITED KINGDOM
    Phone
    +442072687700
  • Complaints Contact

    55 Drury Lane
    4th Floor
    London
    WC2B 5SQ
    UNITED KINGDOM
    Phone
    +442072687818

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    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, Share, Warrant

    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.
  • 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, 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), Rolling spot forex contract, Share, Warrant

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

    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, Share, Warrant

    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.
  • Trades With You Directly

    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, Share, Warrant

  • Investment Setup

    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), Rolling spot forex contract, Share, Warrant

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

Approved individuals

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

  • ANTHONY Richard Bangor Ward

    IRN ARW01109

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 3 Nov 2004)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 5 Aug 2004)
  • Adrian James Brickell

    IRN AJB01444

    • SMF3 (AR) Executive Director function (since 24 Jun 2022)
    • SMF1 (AR) Chief Executive function (since 24 Jun 2022)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Aug 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 17 Aug 2022)
    • CF3 Chief Executive (10 Dec 2014 to 8 Dec 2019)
    • CF1 Director (1 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
  • Alexander Baden Dahl

    IRN AXD01019

    • [FCA CF] Material risk taker (since 12 Dec 2024)
    • [FCA CF] Proprietary trader (since 12 Dec 2024)
  • Alexander Christopher Perk

    IRN ACP01132

    • CF30 Customer (1 Dec 2009 to 10 Jun 2011)
  • Ana Luiza Vohringer Wilks

    IRN AVV01005

    • CF30 Customer (1 Nov 2007 to 8 Jun 2011)
    • CF21 Investment Adviser (6 Apr 2004 to 31 Oct 2007)
  • Andrej Julius Gustin

    IRN AJG01304

    • CF30 Customer (9 Mar 2009 to 16 Feb 2012)
  • Andrew Dunbar Riddell

    IRN ADR01064

    • CF30 Customer (30 May 2013 to 31 Aug 2015)
  • Andrew Richard Brooks

    IRN ARB01127

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jan 2004)
  • Andrew Shaw

    IRN AXS02745

    • [FCA CF] Significant management (23 May 2023 to 28 Jun 2024)
    • [FCA CF] Material risk taker (23 May 2023 to 28 Jun 2024)
  • Angelo Alessandro Fumarola

    IRN AAF01023

    • CF30 Customer (5 Mar 2010 to 10 Jan 2011)

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.