Date authorised
22 July 2014
Companies House
08708339
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    10 New Burlington Street
    Westminster
    London
    W1S 3BE
    UNITED KINGDOM
    Phone
    +4402074346400
  • Complaints Contact

    10 New Burlington Street
    Westminster
    London
    W1S 3BE
    UNITED KINGDOM
    Phone
    +4402074346400

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, 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, Spread Bet, Unit, 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.
  • 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, 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.
  • 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, Share, Spread Bet, Unit, 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.
  • 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, Spread Bet, Unit, 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.
  • Runs Investment Funds

  • 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For 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, Spread Bet, Unit, 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.

Approved individuals

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

  • Harrison Smith

    IRN HXS00449

    • [FCA CF] Client dealing (31 Mar 2024 to 4 Aug 2025)
  • Howard Huang

    IRN HXH00074

    • [FCA CF] Material risk taker (31 Mar 2021 to 1 Feb 2025)
  • James Hallett

    IRN JXH01321

    • [FCA CF] Client dealing (31 Mar 2024 to 4 Aug 2025)
  • Janine Schumann

    IRN JXS01161

    • [FCA CF] Client dealing (22 Nov 2022 to 4 Aug 2025)
  • Jay Glaubach

    IRN JXG00321

    • [FCA CF] Client dealing (since 4 Aug 2025)
    • [FCA CF] Material risk taker (since 31 Mar 2021)
  • John Bryant Gerber

    IRN JXG00322

    • [FCA CF] Material risk taker (31 Mar 2021 to 2 Aug 2024)
  • John Manwaring Robertson

    IRN JMR01221

    • CF30 Customer (22 Jul 2014 to 22 Jul 2014)
  • John Philip Ruane

    IRN JPR01139

    • SMF3 Executive Director (since 26 Jul 2024)
    • [FCA CF] Material risk taker (since 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • CF30 Customer (22 Jul 2014 to 8 Dec 2019)
  • John Richard Atherton

    IRN JXA00478

    • [FCA CF] Material risk taker (since 26 Apr 2024)
    • SMF3 Executive Director (since 14 Dec 2022)
  • Jonida Afezolli

    IRN JXA02259

    • [FCA CF] Client dealing (31 Mar 2021 to 4 Aug 2025)

Recent activity

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

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