Date authorised
1 April 2013
Companies House
04112016
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    20
    Carlton House Terrace
    London
    Westminster
    SW1Y 5AN
    UNITED KINGDOM
    Phone
    +4402074397191
  • Complaints Contact

    20
    Carlton House Terrace
    London
    Westminster
    SW1Y 5AN
    UNITED KINGDOM
    Phone
    +4402074397191

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), 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), 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), 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, Retail (Investment), 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), 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), 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, Retail (Investment), 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), 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), 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.

  • Richard Mark Allsopp

    IRN RMA01035

    • SMF3 Executive Director (9 Dec 2019 to 18 Nov 2024)
    • CF30 Customer (8 Dec 2009 to 8 Dec 2019)
    • CF1 Director (8 Dec 2009 to 8 Dec 2019)
  • Richard Moore

    IRN RPM01118

    • SMF3 Executive Director (since 29 May 2024)
    • [FCA CF] Manager of certification employee (since 31 Jul 2020)
    • [FCA CF] Client dealing (since 31 Jul 2020)
    • CF30 Customer (30 Jun 2013 to 8 Dec 2019)
  • Richard William Heley

    IRN RWH01075

    • CF30 Customer (1 Nov 2007 to 9 Aug 2016)
    • CF1 Director (23 Sep 2002 to 1 Jul 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Rishi Prakash Chhabria

    IRN RXC00731

    • [FCA CF] Material risk taker (5 Apr 2024 to 31 May 2025)
    • [FCA CF] Manager of certification employee (4 Apr 2024 to 5 Apr 2024)
  • Rishi Prakash Chhabria

    IRN RPC01081

    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2024)
    • CF1 Director (8 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (17 May 2013 to 14 Jan 2014)
  • Robert Bee

    IRN RJB00174

    • [FCA CF] Client dealing (since 31 Jul 2020)
  • Ronak Dilipkumar Patel

    IRN RDP01066

    • SMF3 Executive Director (30 Dec 2020 to 23 Sep 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (3 Jan 2007 to 31 Oct 2007)
  • Rosabel Kilgour

    IRN RXK00150

    • [FCA CF] Client dealing (16 Mar 2021 to 3 Aug 2022)
  • Ryan Franklin

    IRN RXF01585

    • [FCA CF] Manager of certification employee (since 31 Jul 2020)
    • [FCA CF] Client dealing (since 31 Jul 2020)
    • CF30 Customer (7 Aug 2018 to 8 Dec 2019)
  • Ryan Michael Mason

    IRN RMM01197

    • [FCA CF] Client dealing (31 Jul 2020 to 1 Aug 2020)
    • [FCA CF] Material risk taker (31 Jul 2020 to 30 Apr 2021)
    • CF30 Customer (1 Feb 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.