Apex Group Fiduciary Services (UK) Limited

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FRN: 448301
Date authorised: 11 May 2006
Companies House: 05666576
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

4th Floor

140 Aldersgate Street

London

EC1A 4HY

UNITED KINGDOM

Phone

+442036975353

Web

https://www.apexgroup.com
Complaints Contact

4th Floor, 140 Aldersgate Street

London

EC1A 4HY

UNITED KINGDOM

Phone

+442036975353

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, Certificates representing certain security, 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, Unit, Warrant
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- · 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
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- · 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, 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, Unit, Warrant
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- · 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.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant
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- · 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, Certificates representing certain security, 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, Unit, Warrant
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- · 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.
Runs Investment Funds
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant
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- · 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.
Manages Your Portfolio

For Professional, Certificates representing certain security, 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, Unit, Warrant
Show 1 limitation Hide limitations
- · 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.

Rhea Leom Hood
IRN RLG01061
- CF1 Director (9 Feb 2015 to 17 Sep 2019)
Robert William Short
IRN RWS01081
- CF1 Director (11 May 2006 to 11 May 2006)
Robin Simon Graham Oliver
IRN RSO01007
- CF11 Money Laundering Reporting (14 Jun 2012 to 18 Feb 2013)
- CF10 Compliance Oversight (13 Jun 2012 to 18 Feb 2013)
Rohan David Worrall
IRN RDW01038
- CF30 Customer (since 4 Nov 2024)
Simon Christopher Young
IRN YXS01207
- CF30 Customer (21 May 2014 to 6 Jun 2016)
- CF1 Director (21 May 2014 to 6 Jun 2016)
- CF28 Systems and controls (21 May 2014 to 6 Jun 2016)
Simon Ridley Johnston
IRN SRJ01049
- SMF16 Compliance Oversight (since 14 Jun 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (14 Jun 2023 to 11 Jan 2024)
Stephen George Geddes
IRN SXG01361
- SMF3 Executive Director (since 29 Feb 2024)
Stephen John Tyson
IRN SJT01138
- CF30 Customer (since 23 Sep 2024)
Steven Antony Scally
IRN SAS01248
- CF30 Customer (8 Dec 2008 to 1 May 2014)
- CF1 Director (29 Apr 2008 to 1 May 2014)
Vincent Michael Rapley
IRN VMR01011
- CF3 Chief Executive (6 Aug 2008 to 31 Jan 2012)
- CF8 Apportionment and Oversight (6 Aug 2008 to 31 Mar 2009)
- CF1 Director (24 May 2006 to 31 Jan 2012)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Apex Investment Advisers Limited
FRN 539747 · Appointed 30 May 2024

Recent activity

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

No changes recorded yet.

What it all means

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.