Date authorised
1 April 2013
Companies House
OC352581
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    40 Berkeley Square
    London
    W1J 5AL
    UNITED KINGDOM
    Phone
    +4402074514000
  • Complaints Contact

    40 Berkeley Square
    London
    London
    W1J 5AL
    UNITED KINGDOM
    Phone
    +442074514000

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.
  • Investment Setup

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.

  • Michael David Bracken

    IRN MDB01182

    • CF30 Customer (12 Jun 2015 to 7 Oct 2015)
  • Michael David Vrana

    IRN MDV00019

    • [FCA CF] Client dealing (since 18 Mar 2021)
    • [FCA CF] Manager of certification employee (since 18 Mar 2021)
    • CF30 Customer (16 Jun 2016 to 8 Dec 2019)
    • CF4 Partner (16 Jun 2016 to 9 Dec 2019)
  • Michael Hiskiyahu

    IRN MXH01217

    • [FCA CF] Client dealing (since 7 May 2024)
  • Michael Ian Nagelberg

    IRN MXN24295

    • [FCA CF] Manager of certification employee (18 Mar 2021 to 8 Sep 2021)
    • [FCA CF] Client dealing (18 Mar 2021 to 8 Sep 2021)
    • CF30 Customer (20 Nov 2019 to 8 Dec 2019)
  • Michael John Pegler

    IRN MJP01374

    • CF30 Customer (13 Aug 2012 to 4 Aug 2015)
  • Michael Joseph Slattery

    IRN MJS01651

    • CF30 Customer (17 Jun 2016 to 8 Dec 2019)
    • CF4 Partner (17 Jun 2016 to 9 Dec 2019)
  • Michael Mount

    IRN MXM04059

    • [FCA CF] Client dealing (since 18 Mar 2021)
    • [FCA CF] Manager of certification employee (since 18 Mar 2021)
    • CF30 Customer (1 Jul 2018 to 8 Dec 2019)
  • Michael Norman Carruthers

    IRN MNC01023

    • [FCA CF] Manager of certification employee (since 1 Dec 2022)
    • [FCA CF] Client dealing (since 1 Dec 2022)
    • [FCA CF] Material risk taker (2 Jan 2024 to 31 Dec 2024)
    • CF30 Customer (1 Jul 2018 to 2 Apr 2019)
  • Michael Peter Ganter

    IRN MXG00716

    • [FCA CF] Client dealing (since 15 Apr 2024)
  • Michael Robert Swank

    IRN MXS04346

    • [FCA CF] Manager of certification employee (since 18 Mar 2021)
    • [FCA CF] Client dealing (since 18 Mar 2021)
    • CF4 Partner (16 Jun 2016 to 9 Dec 2019)
    • CF30 Customer (14 Jan 2016 to 8 Dec 2019)

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.