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.

  • Grant Michael Roberts

    IRN GMR01044

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Apr 2002)
  • Gregory Hammond Hanson

    IRN GHH01041

    • CF30 Customer (15 Jul 2008 to 12 May 2010)
  • Gregory Seth Wiener

    IRN GSW01072

    • [FCA CF] Material risk taker (since 5 Apr 2024)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2024)
    • CF1 Director (19 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
  • Guillermo Marroquin

    IRN GXM00272

    • [FCA CF] Material risk taker (since 31 Jul 2020)
  • Gursewak Bhogal

    IRN GXB00255

    • [FCA CF] Client dealing (since 31 Jul 2020)
  • Gyorgy Gordon Bajnai

    IRN GGB01044

    • SMF1 Chief Executive (since 1 Sep 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (15 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (23 Feb 2018 to 8 Dec 2019)
  • Hemal Patel

    IRN HXP01233

    • [FCA CF] Client dealing (21 Sep 2022 to 31 Mar 2023)
    • [FCA CF] Material risk taker (31 Jul 2020 to 21 Sep 2022)
    • [FCA CF] Manager of certification employee (31 Jul 2020 to 31 Mar 2023)
    • CF30 Customer (14 Jan 2014 to 8 Dec 2019)
  • Ian Timothy Dean

    IRN ITD01001

    • [FCA CF] Client dealing (since 31 Jul 2020)
    • [FCA CF] Manager of certification employee (since 31 Jul 2020)
    • CF30 Customer (7 Jul 2016 to 8 Dec 2019)
  • Immanuel Rubin

    IRN IXR01099

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (18 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Aug 2004 to 31 Oct 2007)
  • Isabelle Xiaoyu Zhang

    IRN IXZ01033

    • CF30 Customer (19 Dec 2011 to 9 Aug 2013)

Recent activity

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

No changes recorded yet.