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.

  • Andrew John Bowron Gardner

    IRN AJG01156

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jan 2002)
  • Andrew Jonathan Bentley

    IRN AJB01446

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (29 Jun 2005 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (28 Feb 2003 to 31 Oct 2007)
  • Andrew Maloney

    IRN AXM00658

    • [FCA CF] Material risk taker (31 Jul 2020 to 8 Aug 2022)
  • Annabelle Judd

    IRN AKJ01023

    • [FCA CF] Client dealing (since 31 Jul 2020)
    • [FCA CF] Manager of certification employee (since 31 Jul 2020)
    • CF30 Customer (11 Apr 2017 to 8 Dec 2019)
  • Austin Gray

    IRN AXG00330

    • [FCA CF] Material risk taker (31 Jul 2020 to 8 Aug 2022)
  • Bashak-Julianna Demir

    IRN BXD01345

    • [FCA CF] Client dealing (31 Jul 2020 to 20 May 2022)
    • [FCA CF] Manager of certification employee (31 Jul 2020 to 20 May 2022)
    • CF30 Customer (28 Oct 2017 to 8 Dec 2019)
  • Benjamin Bach

    IRN BXB01107

    • CF30 Customer (14 Nov 2008 to 29 Oct 2010)
  • Benjamin Kalmanowicz

    IRN BXK01354

    • CF30 Customer (21 Jul 2014 to 8 Dec 2019)
  • Benjamin Stuart Pearce

    IRN BSP01017

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (8 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (6 Jun 2007 to 31 Oct 2007)
  • Bharat Singh

    IRN BXS01462

    • CF30 Customer (12 Feb 2009 to 30 Nov 2009)

Recent activity

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

No changes recorded yet.