Date authorised
1 April 2013
Companies House
03668383
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Axis Court
    North Station Road
    Colchester
    Essex
    CO1 1UX
    UNITED KINGDOM
    Phone
    +4401206771771
  • Complaints Contact

    Axis Court
    North Station Road
    Colchester
    Essex
    CO1 1UX
    UNITED KINGDOM
    Phone
    +4401206771771

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

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

  • Authorised to Operate

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

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

  • Insurance Admin

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

  • Stockbroking

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

  • Investment Setup

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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Lee Puffett

    IRN LXP01198

    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF3 Executive Director (9 Dec 2019 to 16 Mar 2022)
    • SMF4 Chief Risk (9 Dec 2019 to 16 Mar 2022)
    • Responsible for Insurance Mediation (27 Jun 2017 to 30 Sep 2018)
    • CF3 Chief Executive (27 Jun 2017 to 8 Dec 2019)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • Linda Carol Baker

    IRN LCB01041

    • SMF1 Chief Executive (since 30 Jan 2020)
    • SMF24 Chief Operations (9 Dec 2019 to 16 Mar 2022)
    • SMF3 Executive Director (9 Dec 2019 to 16 Mar 2022)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • Lorna Munsami

    IRN LXM00521

    • [FCA CF] Significant management (4 Nov 2022 to 28 Apr 2023)
  • Richard John Stevens

    IRN RJS01337

    • SMF9 Chair of the Governing Body (since 4 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • CF3 Chief Executive (14 Jan 2005 to 29 Jun 2017)
    • Responsible for Insurance Mediation (14 Jan 2005 to 29 Jun 2017)
  • Richard Lamberth

    IRN RXL01286

    • CF2 Non Executive Director (14 Jan 2005 to 22 Dec 2014)
  • Richard Paul Baker

    IRN RXB00416

    • [FCA CF] Significant management (since 9 Dec 2019)
  • Stephen John Sopp

    IRN SXS00532

    • [FCA CF] Significant management (9 Dec 2019 to 21 Feb 2023)
  • Tina Ellen Stevens

    IRN TXS03639

    • [FCA CF] Significant management (since 9 Dec 2019)
  • Vaiva Korsakaite

    IRN VXK00037

    • [FCA CF] Significant management (9 Dec 2019 to 17 Mar 2022)

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.