Date authorised
1 April 2013
Companies House
03631973
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9th Foor
    30 Crown Place
    London
    EC2A 4EB
    UNITED KINGDOM
    Phone
    +4402033761444
  • Complaints Contact

    9th Foor
    30 Crown Place
    London
    EC2A 4EB
    UNITED KINGDOM
    Phone
    +4402033761444

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    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.
  • Equity Release Advice

    For Customer, Home reversion plans

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

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

    For Customer, Home reversion plans

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling which is provided in connection with investment advice and/or buy to let mortgages
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.
  • Equity Release Setup

    For Customer, Home reversion plans

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

  • Jane Elizabeth Black

    IRN JEB01294

    • CF30 Customer (18 Jun 2018 to 11 Dec 2018)
  • John Graham Moore

    IRN JGM01132

    • CF30 Customer (14 Mar 2016 to 5 Sep 2017)
  • Karen Jane Ritchie

    IRN KJR00025

    • CF30 Customer (18 Sep 2024 to 30 Aug 2025)
    • [FCA CF] Functions requiring qualifications (9 Aug 2022 to 30 Aug 2025)
    • Appointed representative dealing with clients for which they require qualification (9 Aug 2022 to 30 Aug 2025)
    • [FCA CF] Client dealing (9 Aug 2022 to 30 Aug 2025)
    • CF1 Director (AR) (6 Jul 2022 to 30 Aug 2025)
  • Kevin Yim

    IRN KXY11487

    • CF30 Customer (14 Feb 2019 to 8 Dec 2019)
  • Krunal Vajubhai Thakkar

    IRN KXT06863

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 22 Mar 2019)
    • CF30 Customer (since 9 Nov 2018)
  • Mark Anthony Watson

    IRN MAW01229

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 6 Feb 2017)
    • CF30 Customer (since 6 Feb 2017)
    • CF30 Customer (1 Nov 2007 to 30 Mar 2009)
    • CF21 Investment Adviser (10 Jan 2007 to 31 Oct 2007)
  • Michael George Hayes

    IRN MGH01076

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF30 Customer (since 21 Nov 2025)
    • CF1 Director (AR) (since 21 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 22 Sep 2025)
    • Appointed representative dealing with clients for which they require qualification (since 22 Sep 2025)
    • [FCA CF] Client dealing (since 22 Sep 2025)
  • Richard Alan Hopkins

    IRN RAH00050

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Jan 2007 to 30 Sep 2018)
    • CF10 Compliance Oversight (10 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Jan 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (10 Jan 2007 to 31 Oct 2007)
    • CF3 Chief Executive (10 Jan 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jan 2007 to 31 Oct 2007)
    • CF1 Director (10 Jan 2007 to 8 Dec 2019)
  • Sarah Jane Killick

    IRN SJK00023

    • CF1 Director (AR) (19 Mar 2015 to 10 Oct 2023)
    • CF30 Customer (1 Nov 2007 to 1 Sep 2015)
    • CF21 Investment Adviser (10 Jan 2007 to 31 Oct 2007)
  • Sarah Louise Travers

    IRN SLL01037

    • CF30 Customer (11 Jun 2018 to 2 Nov 2020)

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.