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.

  • Roger Anthony Aust

    IRN RAA01087

    • CF1 Director (AR) (31 Aug 2006 to 31 Jul 2008)
  • Roger Harold Stone

    IRN RHS01054

    • CF1 Director (15 Oct 2008 to 24 Aug 2009)
    • CF1 Director (AR) (14 Jan 2005 to 1 Apr 2008)
  • Ronald Mountain

    IRN RXM01259

    • CF1 Director (1 Dec 2001 to 31 Jan 2005)
  • Rowland Thomas

    IRN RXT00222

    • [FCA CF] Material risk taker (1 Aug 2021 to 31 Jul 2025)
  • Salina Darbyshire

    IRN SLD01032

    • [FCA CF] Material risk taker (since 20 Nov 2024)
  • Sally Angela Helen Williams

    IRN SXW01426

    • Director of firm who is not a certification employee or a SMF manager (since 1 Jan 2020)
  • Sally Louise Nolder

    IRN SLN01009

    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2006)
  • Sarah Jane Adamson

    IRN SXA00385

    • [FCA CF] Material risk taker (since 19 Sep 2024)
  • Sarah Peazer-Davies

    IRN SXP00305

    • [FCA CF] Material risk taker (since 20 Jan 2025)
    • [FCA CF] Significant management (since 20 Jan 2025)
  • Seán Kemple

    IRN SXK00747

    • [FCA CF] Significant management (since 25 Jan 2024)
    • [FCA CF] Material risk taker (since 25 Jan 2024)
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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.

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