Date authorised
26 July 2017
Companies House
10608481
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Watergate House
    13-15 York Buildings
    London
    WC2N 6JU
    UNITED KINGDOM
    Phone
    +442073400600
  • Complaints Contact

    Watergate House
    13-15 York Buildings
    London
    WC2N 6JU
    UNITED KINGDOM
    Phone
    +442073400600

What this firm is allowed to do

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

  • Arranges Investments

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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), Share, 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, Debenture, 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), Share, 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, Debenture, 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), Share, 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, Debenture, 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), Share, 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, Debenture, 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), Share, 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.

  • Alexander Jonathan Garfitt

    IRN AXG01003

    • [FCA CF] Client dealing (since 15 Apr 2025)
    • [FCA CF] Proprietary trader (20 Jan 2025 to 15 Apr 2025)
  • Alexander Neville Snodgrass

    IRN AXS05386

    • [FCA CF] Client dealing (since 22 Jan 2025)
    • [FCA CF] Proprietary trader (22 Jan 2025 to 15 Apr 2025)
  • Alistair Jeremy Brew

    IRN AJB01570

    • [FCA CF] Significant management (since 15 Apr 2025)
    • [FCA CF] Client dealing (since 29 Aug 2022)
    • [FCA CF] Proprietary trader (11 Mar 2024 to 15 Apr 2025)
  • Andrew Nicholas Gregory

    IRN ANG01035

    • SMF1 Chief Executive (since 7 Sep 2022)
    • SMF3 Executive Director (since 7 Dec 2020)
    • CF30 Customer (26 Jul 2017 to 8 Dec 2019)
  • Barry William Jackson

    IRN BWJ01012

    • [FCA CF] Significant management (since 15 Apr 2025)
    • [FCA CF] Manager of certification employee (since 22 Jan 2025)
    • [FCA CF] Client dealing (since 1 Sep 2023)
    • [FCA CF] Proprietary trader (24 Jun 2021 to 15 Apr 2025)
  • Benjamin Barker

    IRN BXB01531

    • SMF3 Executive Director (since 2 Apr 2026)
    • [FCA CF] Significant management (since 1 Jan 2023)
    • [FCA CF] Manager of certification employee (since 1 Jan 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (9 Dec 2019 to 15 Apr 2025)
  • Benjamin Thomas Coleman

    IRN BXC00140

    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Catherine Fiona Clarke

    IRN CFC01048

    • CF30 Customer (26 Jul 2017 to 8 Dec 2019)
  • Catherine Louise Fitt

    IRN CXF00275

    • [FCA CF] Significant management (1 Jan 2023 to 6 Nov 2023)
  • Christopher Andrew Olds

    IRN CAO01048

    • SMF3 Executive Director (since 15 Apr 2024)

Recent activity

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

No changes recorded yet.