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.

  • David Kenneth Cherrett

    IRN DKC01021

    • CF21 Investment Adviser (20 Mar 2002 to 4 Feb 2003)
  • David Maxwell Barnes

    IRN DMB01237

    • CF30 Customer (25 Feb 2010 to 20 Sep 2013)
  • David Nicholas Earl Collins

    IRN DNC01047

    • CF30 Customer (1 Nov 2007 to 12 Nov 2007)
    • CF21 Investment Adviser (3 Nov 2006 to 31 Oct 2007)
  • David Paul Insole

    IRN DPI01004

    • CF30 Customer (1 Nov 2007 to 21 Aug 2012)
    • CF21 Investment Adviser (3 Nov 2006 to 31 Oct 2007)
  • Dean Bevens

    IRN DXB01460

    • [FCA CF] Manager of certification employee (since 6 Jun 2025)
    • [FCA CF] Client dealing (since 15 Apr 2025)
  • Dennis James Walton

    IRN DJW01262

    • [FCA CF] Client dealing (14 Sep 2023 to 29 Nov 2024)
  • Dominic Edward Fortesue Poyntz

    IRN DEP01054

    • CF30 Customer (29 Nov 2007 to 29 Feb 2008)
  • Douglas John Newton

    IRN DJN01088

    • CF30 Customer (1 Nov 2007 to 2 Aug 2012)
    • CF22 Investment Adviser (Trainee) (4 Jul 2007 to 31 Oct 2007)
  • Duncan James Lyall

    IRN DJL01122

    • [FCA CF] Client dealing (since 12 Feb 2021)
  • Edward Gray

    IRN EXG01410

    • [FCA CF] Manager of certification employee (since 27 Nov 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Jan 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.