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

• Crawford Peter Reid

  IRN CXR00231

  • [FCA CF] Material risk taker (since 29 Nov 2023)
  • [FCA CF] Significant management (since 29 Nov 2023)
• Daniel Ashley Hertz

  IRN DAH01218

  • [FCA CF] Material risk taker (since 7 Aug 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Aug 2025)
• Daniel Joyce

  IRN DXJ00177

  • [FCA CF] Material risk taker (since 1 Aug 2021)
• David Christopher Austen

  IRN DCA01052

  • CF28 Systems and controls (1 Jul 2013 to 9 Apr 2015)
• David Edward Wilson

  IRN DEW00009

  • CF1 Director (AR) (13 Dec 2005 to 31 Oct 2006)
  • CF1 Director (19 May 2004 to 13 Dec 2005)
• David Garfield Hardisty

  IRN DGH01050

  • CF1 Director (1 Dec 2001 to 31 Jul 2003)
• David Thomson

  IRN DPT01051

  • [FCA CF] Material risk taker (7 Mar 2016 to 2 Aug 2021)
  • CF1 Director (16 Oct 2008 to 24 Aug 2009)
• David Waldron

  IRN DXW00686

  • [FCA CF] Significant management (31 Jan 2024 to 6 Feb 2025)
  • [FCA CF] Material risk taker (31 Jan 2024 to 6 Feb 2025)
• Dean Ashley Gilbert

  IRN DAG01116

  • CF29 Significant management (1 Nov 2007 to 11 Feb 2009)
  • Responsible for Insurance Mediation (19 Jun 2007 to 11 Feb 2009)
  • CF11 Money Laundering Reporting (21 May 2007 to 28 Feb 2013)
  • CF10 Compliance Oversight (21 May 2007 to 28 Feb 2013)
  • CF17 Significant Mgt (Other Business Operations) (15 Dec 2005 to 31 Oct 2007)
• Dean Van Der Merwe

  IRN DXV00146

  • [PRA CF] Significant risk taker or Material risk taker (since 19 Mar 2026)
  • [FCA CF] Material risk taker (since 19 Mar 2026)

• 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.