Close Brothers Limited

• Principal Place of Business

  10 Crown Place

  London

  EC2A 4FT

  UNITED KINGDOM

  Phone

  +443333216100

  Web

  https://www.closebrothers.com

• Complaints Contact

  10 Crown Place

  London

  EC2A 4FT

  UNITED KINGDOM

  Phone

  +443333216100

• Bank Deposits

  For All, Deposit

• Investment Advice (no pensions)

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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

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

• Credit Brokering

• Stockbroking

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

• 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), 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, Spread Bet

  Show 2 limitations Hide limitations

  • · 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.
  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.

• Debt Negotiation

  Show 1 limitation Hide limitations

  • · This permission is limited to debt adjusting with no debt management activity

• Debt Plan Admin

• Debt Collection

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt adjusting with no debt management activity

• Consumer Hire

• Consumer Loans

• Consumer Hire Servicing

• Loan Servicing

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Nick Brazier

  IRN NXB00497

  • [FCA CF] Significant management (since 19 Dec 2023)
  • [FCA CF] Material risk taker (since 19 Dec 2023)
• Nicole Corfield

  IRN NXC00060

  • [FCA CF] Significant management (since 17 Apr 2025)
  • [FCA CF] Material risk taker (since 1 Nov 2021)
• Nigel Anthony Mottershead

  IRN NAM01120

  • CF29 Significant management (5 Oct 2015 to 6 Mar 2016)
  • CF1 Director (17 Oct 2008 to 24 Aug 2009)
• Oliver Corbett

  IRN ORC01001

  • SMF11 Chair of the Audit Committee (7 Mar 2016 to 16 Nov 2023)
  • CF2 Non Executive Director (11 Jul 2014 to 6 Mar 2016)
• Oliver Rosenberg

  IRN OXR00026

  • [FCA CF] Material risk taker (1 Apr 2021 to 17 Apr 2023)
  • [FCA CF] Manager of certification employee (1 Apr 2021 to 17 Apr 2023)
• Patricia Marie Halliday

  IRN PMB01100

  • SMF10 Chair of the Risk Committee (since 22 Sep 2022)
  • Director of firm who is not a certification employee or a SMF manager (1 Aug 2021 to 17 Nov 2022)
• Paul Geary

  IRN PXG00449

  • [FCA CF] Material risk taker (since 15 Jul 2024)
• Per Preben Prebensen

  IRN PPP01003

  • SMF1 Chief Executive (17 Nov 2016 to 21 Sep 2020)
  • SMF7 Group Entity Senior Manager (7 Mar 2016 to 17 Nov 2016)
  • CF1 Director (22 Jan 2010 to 6 Mar 2016)
  • CF2 Non Executive Director (6 Feb 2009 to 2 Jan 2010)
• Peter Bernard Duffy

  IRN PBD01031

  • Director of firm who is not a certification employee or a SMF manager (1 Jan 2019 to 15 Feb 2024)
• Peter Leslie Winkworth

  IRN PLW01018

  • CF2 Non Executive Director (1 Dec 2001 to 31 Jul 2007)

• Kingston Asset Finance Ltd (no longer appointed)

  FRN 459006 · Appointed 25 Oct 2006 · Until 1 May 2008

• Surrey Asset Finance Ltd (no longer appointed)

  FRN 455696 · Appointed 9 Aug 2006 · Until 31 Jul 2008

• Close Brothers Military Services Limited (no longer appointed)

  FRN 206231 · Appointed 4 Nov 2005 · Until 17 Dec 2007

• Armed Services Finance Ltd (no longer appointed)

  FRN 401588 · Appointed 14 Jan 2005 · Until 17 Dec 2007

• NAAFI (no longer appointed)

  FRN 401590 · Appointed 14 Jan 2005 · Until 1 Jul 2007

• Close Motor Finance Ltd (no longer appointed)

  FRN 401587 · Appointed 14 Jan 2005 · Until 17 Dec 2007

• Close Asset Finance Ltd (no longer appointed)

  FRN 401585 · Appointed 14 Jan 2005 · Until 1 Apr 2008

• Close Business Finance Ltd (no longer appointed)

  FRN 401589 · Appointed 14 Jan 2005 · Until 1 Apr 2008

No changes recorded yet.