Date authorised
1 April 2013
Companies House
02649338
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Regus
    St. Marys Court
    The Broadway
    Amersham
    Buckinghamshire
    HP7 0UT
    UNITED KINGDOM
    Phone
    +4401494924417
  • Complaints Contact

    Regus
    St. Marys Court
    The Broadway
    Amersham
    Buckinghamshire
    HP7 0UT
    UNITED KINGDOM
    Phone
    +4401494924417

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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • Investment Advice (no pensions)

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  • Authorised to Operate

  • Arranges Investments

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

Approved individuals

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

  • David John Stephenson

    IRN DJS01272

    • CF1 Director (1 Dec 2001 to 31 Mar 2010)
  • Fiona Bowers

    IRN FXB01260

    • CF1 Director (15 Apr 2010 to 30 Sep 2015)
  • Guy John Murray

    IRN GJM00073

    • CF21 Investment Adviser (5 Dec 2003 to 30 Jun 2005)
  • James Ronald Foskett

    IRN JXF01598

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (20 Oct 2010 to 8 Dec 2019)
    • CF1 Director (19 Apr 2010 to 8 Dec 2019)
  • John Gregory Montague Thornton

    IRN JGT00001

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF1 Director (15 Apr 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (12 Oct 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Oct 2005 to 31 Oct 2007)
  • Keith Barclay Nicholls

    IRN KBN01000

    • CF1 Director (1 Dec 2001 to 1 Dec 2001)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Dec 2001)
  • Martin Andrew Murray

    IRN MAM01126

    • CF21 Investment Adviser (1 Dec 2001 to 19 Sep 2003)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 19 Sep 2003)
  • Michael Richard Hardman

    IRN MRH01141

    • CF1 Director (1 Dec 2001 to 17 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 11 Mar 2003)
  • Nicholas Stewart Evans

    IRN NSE01008

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 10 Dec 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (6 Jul 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Apr 2003 to 6 Apr 2010)
    • CF3 Chief Executive (1 Dec 2001 to 1 Dec 2001)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Dec 2001)

Recent activity

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

No changes recorded yet.