Date authorised
1 April 2013
Companies House
00088695
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor
    33-34 Winckley Square
    Preston
    Lancashire
    PR1 3JJ
    UNITED KINGDOM
    Phone
    +443457456125
  • Complaints Contact

    Lancaster Court
    8 Barnes Wallis Road
    Fareham
    Hampshire
    PO15 5TU
    UNITED KINGDOM
    Phone
    +447767007552

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • Authorised to Operate

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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.
  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Manages Insurance Policies

    For All, Capital redemption, Life and annuity, Linked long-term, Pension fund management, Permanent health

  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, 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

    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.
  • Issues Insurance

    For All, Capital redemption, Life and annuity, Linked long-term, Pension fund management, Permanent health

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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.
  • Holds Your Assets

    For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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.

  • Jonathan D Moore

    IRN JXM01621

    • CF1 Director (1 Nov 2007 to 12 Feb 2010)
  • Jonathan David Hadley Jervis

    IRN JDJ32073

    • [FCA CF] Significant management (18 Dec 2024 to 30 Jan 2026)
  • Jonathan Edward Brownlee

    IRN JEB01132

    • CF11 Money Laundering Reporting (21 Jan 2004 to 4 May 2010)
  • Karen Longden

    IRN KAL33459

    • [FCA CF] Manager of certification employee (13 Jun 2019 to 8 Apr 2020)
  • Katari Santhosh Kumar

    IRN KSK32069

    • [FCA CF] Functions requiring qualifications (18 Jan 2019 to 10 May 2021)
  • Kate Maria Ingram

    IRN KXI00019

    • SMF5 Head of Internal Audit (1 Oct 2023 to 19 Feb 2025)
  • Katherine Clare Savage

    IRN KXS00548

    • SMF16 Compliance Oversight (since 30 Jan 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2026)
    • SMF4 Chief Risk (since 9 May 2023)
  • Katie Jane Wood

    IRN KJW30403

    • [FCA CF] Functions requiring qualifications (15 Jan 2019 to 20 Jan 2023)
  • Katie Louise Worgan

    IRN KXD29321

    • Director of firm who is not a certification employee or a SMF manager (1 Apr 2021 to 17 Oct 2022)
  • Keith Victor Smithson

    IRN KVS01003

    • CF13 Finance (1 Dec 2001 to 2 Dec 2003)
    • CF1 Director (1 Dec 2001 to 2 Dec 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.