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

• Steven Gulliver

  IRN SXG00808

  • [FCA CF] Material risk taker (since 16 Jul 2024)
• Stuart Paul Griffiths

  IRN SPG01061

  • SMF16 Compliance Oversight (16 Apr 2020 to 27 Jul 2021)
• Stuart Wallace

  IRN SXW02229

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Aug 2016)
• Susan Brownlie

  IRN SXB08671

  • SMF16 Compliance Oversight (31 Jan 2019 to 16 Apr 2020)
• Tara Kilduff

  IRN TXK00034

  • [FCA CF] Significant management (since 12 Dec 2024)
  • [FCA CF] Material risk taker (since 12 Dec 2024)
• Terence Edward Marner

  IRN TEM01009

  • CF30 Customer (1 Nov 2007 to 1 Oct 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Tesula Mohindra

  IRN TXM01151

  • Director of firm who is not a certification employee or a SMF manager (since 15 Jul 2021)
• Thomas James Martin Ginty

  IRN TJG01117

  • [FCA CF] Manager of certification employee (since 3 Feb 2025)
  • [FCA CF] Material risk taker (since 3 Feb 2025)
• Timothy John Renshaw

  IRN TXR00104

  • SMF16 Compliance Oversight (since 15 Jul 2021)
• Tracey Graham

  IRN TXG01311

  • SMF12 Chair of the Remuneration Committee (since 17 Nov 2022)
  • Director of firm who is not a certification employee or a SMF manager (22 Mar 2022 to 17 Nov 2022)

• 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.