Date authorised
1 April 2013
Companies House
OC310342
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5-10 Bolton Street
    -
    London
    W1J 8BA
    UNITED KINGDOM
    Phone
    +442073213470
  • Complaints Contact

    5-10 Bolton Street
    -
    London
    W1J 8BA
    UNITED KINGDOM
    Phone
    +442073213470

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, 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, 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, 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, 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, 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, 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, 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, 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, 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, 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, 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, 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.

  • Nicholas Thiem

    IRN NXT01508

    • CF30 Customer (24 Jul 2018 to 5 Oct 2018)
  • Patrick James Thirkell Cooper

    IRN PJC01134

    • CF30 Customer (21 Mar 2012 to 8 Dec 2019)
  • Richard John Aston

    IRN RJA01061

    • SMF27 Partner (since 19 Jun 2025)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF4 Partner (3 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (16 Nov 2011 to 8 Dec 2019)
  • Roderick Dickson

    IRN RXD00421

    • [FCA CF] Material risk taker (17 Jul 2023 to 3 Jun 2024)
    • [FCA CF] Client dealing (17 Jul 2023 to 3 Jun 2024)
  • Tanya Louise Farrell

    IRN TLH01008

    • SMF16 Compliance Oversight (9 Dec 2019 to 10 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Dec 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 17 Oct 2023)
    • CF11 Money Laundering Reporting (26 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Feb 2014 to 8 Dec 2019)
  • Theo Wyld

    IRN TXW00250

    • [FCA CF] Material risk taker (since 1 Apr 2025)
    • [FCA CF] Client dealing (since 1 Apr 2025)
  • Thomas Richard Prew

    IRN TRP01046

    • [FCA CF] Client dealing (6 Sep 2023 to 26 Mar 2025)
    • [FCA CF] Material risk taker (6 Sep 2023 to 26 Mar 2025)
  • Victoria Emma Wilson

    IRN VEW01005

    • SMF16 Compliance Oversight (since 7 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Apr 2025)
    • [FCA CF] Material risk taker (since 1 Apr 2022)
    • CF30 Customer (18 Jul 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.