Date authorised
1 April 2013
Companies House
00322365
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • Authorised to Operate

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

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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.

  • Brenda Jean Eckles

    IRN BJE01014

    • CF26 Customer Trading (12 Mar 2002 to 9 Aug 2004)
  • Brent Jarrod Lawson

    IRN BXL00255

    • [FCA CF] Significant management (since 1 Oct 2025)
    • [FCA CF] Manager of certification employee (24 Mar 2025 to 1 Oct 2025)
  • Brian Ernst Frank

    IRN BEF01015

    • CF29 Significant management (1 Apr 2010 to 31 Oct 2011)
  • Brian Gilvary

    IRN BXG01195

    • CF3 Chief Executive (12 Mar 2007 to 1 Jan 2010)
    • CF1 Director (15 Apr 2005 to 1 Jan 2010)
    • CF8 Apportionment and Oversight (15 Apr 2005 to 31 Mar 2009)
  • Brian James West

    IRN BJW01046

    • CF30 Customer (1 Nov 2007 to 15 Feb 2008)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • Brian Kenneth Mumme

    IRN BKM01023

    • CF29 Significant management (1 Nov 2007 to 15 Sep 2008)
    • CF16 Significant Mgt (Desgntd Investment Business) (14 May 2007 to 31 Oct 2007)
  • Brian Kwatekwei Quartey

    IRN BKQ01000

    • CF30 Customer (9 Jun 2011 to 13 Oct 2011)
    • CF26 Customer Trading (5 Jan 2007 to 31 Oct 2007)
  • Brian Logan Uffelman

    IRN BLU01002

    • CF26 Customer Trading (28 Oct 2005 to 12 Jun 2007)
  • Brian Michael Puffer

    IRN BMP01049

    • [FCA CF] Significant management (1 Feb 2020 to 30 Jun 2023)
    • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
    • CF1 Director (1 Jan 2018 to 8 Dec 2019)
    • CF28 Systems and controls (1 Jan 2018 to 8 Dec 2019)
  • Bruno Georges Andre Boulanger

    IRN BGB01013

    • CF30 Customer (1 May 2010 to 13 Oct 2011)

Recent activity

Updates to this firm's record on the FCA register.

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