Date authorised
1 April 2013
Companies House
04520834
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    6th Floor
    24 Cornhill
    London
    EC3V 3ND
    UNITED KINGDOM
    Phone
    +4407833924552
  • Complaints Contact

    6th Floor
    24 Cornhill
    London
    EC3V 3ND
    UNITED KINGDOM
    Phone
    +4407833924552

What this firm is allowed to do

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

  • Authorised to Operate

  • Arranges Investments

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

  • Stockbroking

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

    Show 2 limitations
    • · Non investment insurance only
    • · 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.

  • Geraint Lewis Morgan

    IRN GLM01036

    • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2023)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • Janette Emma Coles

    IRN JEC01181

    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
  • John Victor Michell

    IRN JVM00009

    • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2023)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • Kevin Christopher Hartnett

    IRN KXH00365

    • SMF1 Chief Executive (since 26 Jan 2023)
  • Philip Earthey

    IRN PXE01211

    • CF1 Director (AR) (20 Dec 2012 to 25 Mar 2025)
    • CF30 Customer (6 Dec 2012 to 25 Mar 2025)
  • Richard Alexander Rimmer

    IRN RAR00017

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Mar 2020)
    • SMF16 Compliance Oversight (since 10 Mar 2020)
    • SMF3 Executive Director (9 Dec 2019 to 13 Apr 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 13 Apr 2026)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)

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.