A.U. Group Brokers Limited

Date authorised
11 July 2019
Companies House
09000417
Last scraped
1 week ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 George Yard (4th Floor)
    London
    City Of London
    EC3V 9DF
    UNITED KINGDOM
    Phone
    +442073475670
    Web
    https://www.au-group.com

  • Complaints Contact

    1 George Yard
    London
    City Of London
    EC3V 9DF
    UNITED KINGDOM
    Phone
    +442073475670

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 Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Authorised to Operate

    Show 1 limitation
    • · 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

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

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

  • Aldo Iaquinta

    IRN AXI01393

    • SMF3 Executive Director (9 Dec 2019 to 29 Mar 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 9 Jan 2023)
    • CF1 Director (12 Jul 2019 to 8 Dec 2019)
  • Andrew Stephen Norman

    IRN ASN01025

    • SMF3 Executive Director (9 Dec 2019 to 9 Jan 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 9 Jan 2023)
    • CF1 Director (11 Jul 2019 to 8 Dec 2019)
  • Duilio D'Ippoliti

    IRN DXD01653

    • SMF3 Executive Director (9 Dec 2019 to 30 Jan 2020)
    • CF1 Director (11 Jul 2019 to 8 Dec 2019)
  • Howard Manton

    IRN HXM00331

    • SMF1 Chief Executive (since 15 Feb 2026)
    • SMF3 Executive Director (since 12 May 2023)
  • Jonathan Sprules

    IRN JXS03836

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 27 Jun 2025)
    • CF11 Money Laundering Reporting (12 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jul 2019 to 8 Dec 2019)
  • Mayer Nahum

    IRN MXN01669

    • SMF3 Executive Director (9 Dec 2019 to 29 Mar 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 9 Jan 2023)
    • CF1 Director (11 Jul 2019 to 8 Dec 2019)
  • NICOLA MARTINE GALLAMORE

    IRN NXG00349

    • SMF3 Executive Director (since 27 Aug 2025)
    • Responsible for Insurance Distribution (since 27 Aug 2025)
  • Nicholas Beresford Readings

    IRN NBR01012

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (11 Jul 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (11 Jul 2019 to 12 Sep 2025)
  • Paolo Tolla

    IRN PXT00028

    • [FCA CF] Significant management (10 Mar 2021 to 9 Jan 2023)
    • SMF3 Executive Director (10 Mar 2021 to 29 Mar 2022)
  • Ralph Cameron Snedden

    IRN RCS01038

    • SMF9 Chair of the Governing Body (since 21 Feb 2020)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (11 Jul 2019 to 8 Dec 2019)
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Recent activity

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

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