Date authorised
1 April 2013
Companies House
03897857
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    14th Floor
    54 Hagley Road
    Birmingham
    B16 8PE
    UNITED KINGDOM
    Phone
    +447442477070
  • Complaints Contact

    14th Floor
    54 Hagley Road
    Birmingham
    B16 8PE
    UNITED KINGDOM
    Phone
    +441214543601

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.

  • Sara Anne Fowler

    IRN SXF92155

    • SMF9 Chair of the Governing Body (since 18 Jan 2021)
  • Shelley Marie Rowley

    IRN SXR00450

    • Responsible for Insurance Distribution (27 Sep 2022 to 4 May 2023)
    • SMF3 Executive Director (23 Mar 2022 to 4 May 2023)
    • SMF1 Chief Executive (23 Mar 2022 to 4 May 2023)
  • Stephen Robert Edward Munday

    IRN SRM01203

    • CF10 Compliance Oversight (18 Oct 2013 to 4 Sep 2018)
    • CF11 Money Laundering Reporting (18 Oct 2013 to 29 Aug 2014)
  • Steven Alfred Boughton

    IRN SAB01109

    • CF28 Systems and controls (1 Nov 2007 to 15 Sep 2008)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
  • Thomas Ross

    IRN TXR01518

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (16 Jul 2019 to 8 Dec 2019)
  • William George Begg

    IRN WGB01028

    • CF2 Non Executive Director (28 Apr 2008 to 24 Jan 2017)

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.