Addresses
The contact details this firm has registered with the FCA.
-
Principal Place of Business
12 Throgmorton AvenueLondonEC2N 2DLUNITED KINGDOM- Phone
- +4402077433000
-
Complaints Contact
12 Throgmorton AvenueLONDOnEC2N 2DLUNITED KINGDOM- Phone
- +442077433000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
-
P2P Lending Advice
For Professional, Eligible Counterparty
-
Investment Advice (no pensions)
For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
-
Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
-
Arranges Investments
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
-
Arranges Asset Safekeeping
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 1 limitation Hide limitations
- · 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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
-
Trades With You Directly
For Retail (Investment), Professional, Eligible Counterparty, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · 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.
- · Limited to unregulated collective investment scheme box operations and in carrying on such operations to the specified investment types "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", and "right to or interest in investments - contractually based investments", (when the latter is associated with these specified investments).
-
Investment Setup
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
-
Manages Your Portfolio
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
-
Samantha Jane Withers
IRN SXW00446
- (675)[FCA CF] Significant management (since 14 Jun 2021)
-
Samantha Jean Burden
IRN SJB01243
- (156)CF30 Customer (1 Dec 2009 to 7 Dec 2015)
-
Samantha Mary Brownlee
IRN SMB01284
- (170)[FCA CF] Client dealing (since 14 Feb 2023)
-
Samantha Matthews
IRN SXM04180
- (922)[FCA CF] Client dealing (1 Mar 2021 to 12 Jul 2021)
-
Samantha Ricciardi
IRN SXR00402
- (2297)[FCA CF] Manager of certification employee (30 Jul 2021 to 23 Nov 2021)
- (2296)[FCA CF] Material risk taker (30 Jul 2021 to 23 Nov 2021)
- (2298)[FCA CF] Significant management (30 Jul 2021 to 23 Nov 2021)
-
Samarth Aggarwal
IRN SXA00863
- (2242)[FCA CF] Client dealing (16 Nov 2023 to 7 Mar 2025)
-
Samia Nawal Zhaibet
IRN SXZ14228
- (9)[FCA CF] Client dealing (since 9 Dec 2019)
- (2071)CF30 Customer (25 Apr 2019 to 8 Dec 2019)
-
Samina Teresa Ita Vernon
IRN STV01000
- (1556)CF30 Customer (1 Nov 2007 to 21 Sep 2009)
- (1557)CF27 Investment Management (20 Jul 2006 to 31 Oct 2007)
-
Samruddha Hajare
IRN SXH03129
- (428)[FCA CF] Client dealing (since 18 Mar 2026)
-
Samuel Bearman
IRN SXB03873
- (483)[FCA CF] Significant management (since 28 Aug 2024)
Recent activity
Updates to this firm's record on the FCA register.
-
controlled function added: (384)[FCA CF] Client dealing
-
controlled function added: (383)[FCA CF] Significant management
-
controlled function added: (382)[FCA CF] Manager of certification employee
-
controlled function added: (381)[FCA CF] Significant management
-
controlled function added: (380)[FCA CF] Manager of certification employee
-
controlled function added: (379)[FCA CF] Material risk taker
-
controlled function added: (378)[FCA CF] Manager of certification employee
-
controlled function added: (377)[FCA CF] Manager of certification employee
-
controlled function added: (376)[FCA CF] Client dealing
-
controlled function added: (375)[FCA CF] Client dealing