Close Brothers Limited

Date authorised
1 April 2013
Companies House
00195626
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

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

  • Debt Plan Admin

  • Debt Collection

  • Debt Advice

    Show 1 limitation
    • · 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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Rebekah Jane Etherington

    IRN RJE01152

    • SMF18 Other Overall Responsibility (since 25 Aug 2022)
    • [FCA CF] Material risk taker (7 Mar 2016 to 26 Aug 2022)
    • [FCA CF] Significant management (7 Mar 2016 to 26 Aug 2022)
  • Richard Anthony Murkin

    IRN RAM01174

    • [FCA CF] Manager of certification employee (since 1 Aug 2016)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
  • Richard David Cameron

    IRN RDC00029

    • [FCA CF] Material risk taker (since 2 Dec 2024)
    • [FCA CF] Significant management (since 2 Dec 2024)
  • Robert Bradley Sack

    IRN RBS01086

    • SMF4 Chief Risk (since 7 Mar 2016)
    • CF1 Director (17 Apr 2015 to 6 Mar 2016)
  • Robert Charles Golden

    IRN RCG01030

    • SMF3 Executive Director (7 Mar 2016 to 27 Sep 2016)
    • Responsible for Insurance Mediation (12 Sep 2012 to 27 Sep 2016)
    • CF1 Director (1 Dec 2001 to 6 Mar 2016)
  • Robin Baker

    IRN RXB00277

    • [FCA CF] Significant management (since 28 Jan 2025)
    • [FCA CF] Material risk taker (since 28 Jan 2025)
  • Robin David Sellers

    IRN RDS01042

    • Responsible for Insurance Mediation (14 Jan 2005 to 19 Jun 2007)
    • CF1 Director (1 Dec 2001 to 31 Jul 2008)
    • CF10 Compliance Oversight (1 Dec 2001 to 21 May 2007)
  • Robin Magnus O'Donnell

    IRN RMO01029

    • SMF16 Compliance Oversight (7 Mar 2016 to 12 Aug 2016)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 12 Aug 2016)
    • CF11 Money Laundering Reporting (22 Jul 2013 to 6 Mar 2016)
    • CF10 Compliance Oversight (22 Jul 2013 to 6 Mar 2016)
  • Roderick David Kent

    IRN RDK01018

    • CF1 Director (1 Dec 2001 to 31 Oct 2002)
  • Rodney Hugh Norman

    IRN RHN01007

    • CF1 Director (1 Dec 2001 to 16 Feb 2007)
    • CF13 Finance (1 Dec 2001 to 16 Feb 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.