Date authorised
1 April 2013
Companies House
OC304786
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Eagle House
    108 - 110 Jermyn Street
    London
    SW1Y 6EE
    UNITED KINGDOM
    Phone
    +442078114100
  • Complaints Contact

    Eagle House
    108-110 Jermyn Street
    London
    SW1Y 6EE
    UNITED KINGDOM
    Phone
    +4402078114100

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, 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), Government and public security, 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), Rolling spot forex contract, 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, 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), Government and public security, 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), Rolling spot forex contract, 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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), Government and public security, 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), Rolling spot forex contract, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, 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), Government and public security, 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), Rolling spot forex contract, 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, 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), Government and public security, 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), Rolling spot forex contract, 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.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, 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), Government and public security, 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), Rolling spot forex contract, 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.

  • Alexander Scott Calderwood

    IRN ASC01107

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (30 Apr 2009 to 8 Dec 2019)
  • Benjamin James Ernest Guest

    IRN BJG01035

    • CF27 Investment Management (9 Sep 2003 to 31 May 2007)
    • CF21 Investment Adviser (9 Sep 2003 to 31 May 2007)
    • CF4 Partner (9 Sep 2003 to 31 May 2007)
  • Fereshta Al-Chalabi

    IRN FXA01121

    • [FCA CF] Client dealing (since 19 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 Dec 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 28 Jun 2011)
    • CF21 Investment Adviser (17 Aug 2005 to 31 Oct 2007)
  • Jahor Gupta

    IRN JXG01305

    • [FCA CF] Client dealing (since 19 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 28 Jun 2011)
    • CF21 Investment Adviser (24 Oct 2003 to 31 Oct 2007)
  • James Christopher David Wigley

    IRN JCW01162

    • CF30 Customer (24 Apr 2008 to 1 Jul 2009)
  • James Robert O'Brien

    IRN JRO01034

    • CF11 Money Laundering Reporting (1 Nov 2007 to 1 May 2014)
    • CF28 Systems and controls (1 Nov 2007 to 1 May 2014)
    • CF10 Compliance Oversight (9 Sep 2003 to 1 Dec 2011)
    • CF13 Finance (9 Sep 2003 to 31 Oct 2007)
  • Julie Simmons

    IRN JXS01685

    • CF30 Customer (1 Nov 2007 to 1 Jul 2009)
    • CF27 Investment Management (11 May 2004 to 31 Oct 2007)
    • CF4 Partner (11 May 2004 to 1 Jul 2009)
    • CF21 Investment Adviser (11 May 2004 to 31 Oct 2007)
  • Kevin Aarons

    IRN KXA01473

    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF3 Chief Executive (30 Jun 2016 to 8 Dec 2019)
    • CF4 Partner (30 Jun 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Apr 2014 to 8 Dec 2019)
    • CF28 Systems and controls (9 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2011 to 8 Dec 2019)
  • Lynette De Micco

    IRN LXD24513

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (29 Nov 2019 to 8 Dec 2019)
  • Neil Graham Baker

    IRN NGB01021

    • CF30 Customer (7 Nov 2008 to 1 Jul 2009)

Recent activity

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

No changes recorded yet.