Date authorised
1 April 2013
Companies House
03052018
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Commodity Quay
    St Katharine Docks
    London
    E1W 1BF
    UNITED KINGDOM
    Phone
    +4402073340000
  • Complaints Contact

    Commodity Quay
    St Katharine Docks
    London
    E1W 1BF
    UNITED KINGDOM
    Phone
    +4402073340000

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    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), Emissions Allowance, 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), Spread Bet

    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), 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), Emissions Allowance, 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), Spread Bet

    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, 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), Emissions Allowance, 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), Spread Bet

    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), 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), Emissions Allowance, 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), Spread Bet

    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.

  • James Stuart Fleet

    IRN JSF01062

    • CF30 Customer (1 Nov 2007 to 20 Sep 2016)
    • CF22 Investment Adviser (Trainee) (2 Oct 2007 to 31 Oct 2007)
  • Jamie Grace Ellison

    IRN JXE21408

    • [FCA CF] Client dealing (26 Feb 2021 to 7 Feb 2022)
  • Jan Bagger

    IRN JXB01967

    • CF30 Customer (1 Nov 2007 to 18 Jul 2016)
    • CF1 Director (10 Oct 2006 to 18 Jul 2016)
    • CF21 Investment Adviser (6 Nov 2003 to 31 Oct 2007)
  • Jarryd Kenneth Smith

    IRN JXS11297

    • [FCA CF] Client dealing (9 Dec 2019 to 25 Jun 2020)
    • CF30 Customer (12 Feb 2019 to 8 Dec 2019)
  • Jay Beattie

    IRN JXB04163

    • [FCA CF] Client dealing (since 27 Oct 2025)
  • Jeffrey David Woyda

    IRN JDW01151

    • SMF3 Executive Director (9 Dec 2019 to 21 Jul 2022)
    • CF1 Director (22 Jun 2007 to 8 Dec 2019)
  • Jia Jun Nadia Tan

    IRN JXT00687

    • [FCA CF] Client dealing (15 Apr 2024 to 1 Dec 2025)
  • Joelle Zhang

    IRN JXZ01141

    • CF30 Customer (1 Oct 2015 to 10 May 2019)
  • Jonathan Newcombe

    IRN JXN01592

    • CF30 Customer (8 Jun 2018 to 8 Dec 2019)
  • Jonathan Roberts

    IRN JXR01876

    • [FCA CF] Client dealing (since 17 Jan 2025)
    • [FCA CF] Significant management (since 17 Jan 2025)
    • [FCA CF] Manager of certification employee (since 17 Jan 2025)

Recent activity

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

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