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.

  • Siri Sundal

    IRN SXS02135

    • CF30 Customer (1 Nov 2007 to 26 Jul 2012)
    • CF21 Investment Adviser (31 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (15 Jan 2007 to 31 Jan 2007)
  • Sonny Butler

    IRN SXB03375

    • CF30 Customer (21 Mar 2018 to 8 Dec 2019)
  • Soohyun Park

    IRN SXP01063

    • [FCA CF] Client dealing (17 Mar 2025 to 23 Sep 2025)
  • Spencer Terence Feltham

    IRN SXF00446

    • [FCA CF] Client dealing (since 3 Nov 2025)
  • Stephanie Mabbutt

    IRN SXM00891

    • [FCA CF] Client dealing (3 Nov 2021 to 6 Sep 2022)
  • Sylvia Hui Min Kwong

    IRN SXK00864

    • [FCA CF] Client dealing (21 Nov 2024 to 17 Apr 2025)
  • Thomas James Berry

    IRN TJB01201

    • [FCA CF] Client dealing (since 1 Sep 2025)
  • Thomas O'Brien

    IRN TXO01332

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 Jan 2018 to 8 Dec 2019)
  • Thomas William Ford

    IRN TWF01016

    • CF30 Customer (1 Nov 2007 to 12 Jun 2014)
    • CF22 Investment Adviser (Trainee) (4 Jul 2007 to 31 Oct 2007)
  • Thomas William Stockton

    IRN TWS01033

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (23 Jul 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.