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.
-
Tim Neil Hodgson
IRN TXH00188
- (2404)[FCA CF] Significant management (6 Apr 2021 to 1 Nov 2024)
-
Timothy David John McLeod
IRN TXM00345
- (718)SMF24 Chief Operations (since 3 Mar 2026)
- (2547)[FCA CF] Significant management (24 Feb 2022 to 3 Mar 2026)
-
Timothy David Webb
IRN TDW01014
- (240)CF1 Director (24 Aug 2012 to 25 Mar 2014)
- (238)CF29 Significant management (15 Sep 2011 to 4 May 2018)
- (237)CF30 Customer (1 Nov 2007 to 4 May 2018)
- (239)CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
-
Timothy James Royal Davis
IRN TJD01074
- (155)CF26 Customer Trading (29 Sep 2005 to 22 Dec 2006)
-
Timothy John Foord
IRN TJF01030
- (1878)CF30 Customer (1 Nov 2007 to 31 Oct 2015)
- (1879)CF26 Customer Trading (26 Jul 2007 to 31 Oct 2007)
-
Timothy Robert Shaw
IRN TRS01097
- (54)[FCA CF] Client dealing (since 9 Dec 2019)
- (948)CF30 Customer (13 Mar 2017 to 8 Dec 2019)
-
Timothy St John Parsons
IRN TXP01236
- (200)[FCA CF] Manager of certification employee (since 9 Dec 2019)
- (201)[FCA CF] Significant management (since 9 Dec 2019)
- (199)[FCA CF] Client dealing (since 9 Dec 2019)
- (1320)CF30 Customer (29 Dec 2009 to 8 Dec 2019)
-
Timothy William Routledge
IRN TWR01008
- (189)CF30 Customer (1 Dec 2009 to 1 Jun 2013)
-
Timothy Wong
IRN TXW01388
- (146)[FCA CF] Manager of certification employee (since 5 Jul 2021)
- (145)[FCA CF] Client dealing (since 9 Dec 2019)
- (1162)CF30 Customer (10 Jul 2013 to 8 Dec 2019)
-
Ting-Yuan Kuo
IRN TXK00197
- (546)[FCA CF] Client dealing (since 9 Feb 2023)
Recent activity
Updates to this firm's record on the FCA register.
-
controlled function added: (273)[FCA CF] Client dealing
-
controlled function added: (272)[FCA CF] Client dealing
-
controlled function added: (271)[FCA CF] Client dealing
-
controlled function added: (270)[FCA CF] Material risk taker
-
controlled function added: (269)[FCA CF] Manager of certification employee
-
controlled function added: (268)[FCA CF] Client dealing
-
controlled function added: (267)[FCA CF] Client dealing
-
controlled function added: (266)[FCA CF] Manager of certification employee
-
controlled function added: (265)[FCA CF] Client dealing
-
controlled function added: (264)[FCA CF] Client dealing