Date authorised
1 April 2013
Companies House
05033394
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    First Floor
    18-19 Pall Mall
    London
    SW1Y 5LU
    UNITED KINGDOM
    Phone
    +4402078956902
  • Complaints Contact

    First Floor
    18-19 Pall Mall
    London
    SW1Y 5LU
    UNITED KINGDOM
    Phone
    +4402078956905

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, Certificates representing certain security, 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), 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, Certificates representing certain security, 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), 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, Certificates representing certain security, 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), 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.

  • Ian John Forrest

    IRN IJF01019

    • CF4 Partner (AR) (5 Jan 2009 to 31 Dec 2010)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
    • CF21 Investment Adviser (30 Jun 2004 to 31 Oct 2007)
  • Jeremy Steven Nye

    IRN JXN01099

    • [FCA CF] Client dealing (since 15 May 2025)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF4 Partner (AR) (since 1 Jun 2009)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (30 Jun 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (30 Jun 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jun 2004 to 8 Dec 2019)
    • CF1 Director (30 Jun 2004 to 8 Dec 2019)
  • John Keenan Burgess

    IRN JKB01037

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF4 Partner (AR) (1 Jun 2009 to 29 Apr 2021)
    • CF30 Customer (1 Nov 2007 to 29 Apr 2021)
    • CF8 Apportionment and Oversight (30 Jun 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (30 Jun 2004 to 31 Oct 2007)
    • CF1 Director (30 Jun 2004 to 8 Dec 2019)
  • John Stephen Shelton

    IRN JSS01057

    • CF4 Partner (AR) (1 Apr 2009 to 19 Dec 2014)
    • CF30 Customer (1 Nov 2007 to 13 May 2019)
    • CF21 Investment Adviser (30 Jun 2004 to 31 Oct 2007)
    • CF1 Director (30 Jun 2004 to 19 Dec 2014)
  • Kevin Yimoyines

    IRN KXY01092

    • CF30 Customer (since 8 Sep 2025)
    • CF4 Partner (AR) (since 8 Sep 2025)
    • [FCA CF] Client dealing (since 30 Jun 2025)
    • CF30 Customer (18 Aug 2025 to 2 Sep 2025)
  • Mark Ian Steven

    IRN MIS01042

    • [FCA CF] Client dealing (since 15 May 2025)
    • CF4 Partner (AR) (since 4 Jan 2010)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (24 Jul 2007 to 31 Oct 2007)
  • Mark Steer

    IRN MXS04336

    • [FCA CF] Client dealing (15 May 2025 to 11 Jul 2025)
    • [FCA CF] Material risk taker (26 Apr 2021 to 11 Jul 2025)
    • CF30 Customer (20 Jan 2016 to 8 Dec 2019)
  • Reed Howard Sorrels

    IRN RXS01243

    • CF30 Customer (since 6 Oct 2025)
    • [FCA CF] Client dealing (since 27 Jun 2025)
  • Virr Galaiya

    IRN VXS01160

    • CF4 Partner (AR) (21 Dec 2010 to 5 Mar 2025)
    • CF30 Customer (1 Nov 2007 to 5 Mar 2025)
    • CF21 Investment Adviser (8 Aug 2007 to 31 Oct 2007)

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.