Close Brothers Limited

Date authorised
1 April 2013
Companies House
00195626
Last scraped
3 weeks ago
Watch for changes

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.

  • Doug McLaren

    IRN DXM01228

    • [PRA CF] Significant risk taker or Material risk taker (7 Aug 2025 to 21 Jan 2026)
    • [FCA CF] Material risk taker (7 Aug 2025 to 21 Jan 2026)
  • Douglas Gordon James Paterson

    IRN DGP01059

    • CF2 Non Executive Director (10 Dec 2004 to 21 Nov 2013)
  • ELIZABETH ANNE LEE

    IRN EAL01039

    • SMF3 Executive Director (22 Jun 2017 to 31 Jul 2019)
    • SMF7 Group Entity Senior Manager (7 Mar 2016 to 22 Jun 2017)
    • CF1 Director (1 Mar 2013 to 6 Mar 2016)
  • Emma Elizabeth Hanson

    IRN EEH01011

    • CF21 Investment Adviser (1 Dec 2001 to 18 Apr 2002)
  • Eugene Barker

    IRN EXB00031

    • [FCA CF] Material risk taker (3 Nov 2021 to 20 Mar 2026)
  • Fiona Louise McCallum

    IRN FLM01017

    • SMF3 Executive Director (since 28 Aug 2025)
    • SMF2 Chief Finance (since 3 Apr 2025)
    • [FCA CF] Manager of certification employee (24 Sep 2024 to 3 Apr 2025)
    • [FCA CF] Significant management (24 Sep 2024 to 3 Apr 2025)
    • [FCA CF] Material risk taker (1 Nov 2021 to 3 Apr 2025)
  • Fiona Parkinson

    IRN FXP00118

    • [PRA CF] Significant risk taker or Material risk taker (since 14 Aug 2025)
    • [FCA CF] Material risk taker (since 14 Aug 2025)
  • Francine Amanda Marley

    IRN FAM01015

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

    IRN FDP01006

    • SMF18 Other Overall Responsibility (21 Apr 2021 to 1 Dec 2023)
    • [FCA CF] Material risk taker (13 Mar 2017 to 21 Apr 2021)
    • SMF3 Executive Director (7 Mar 2016 to 13 Mar 2017)
    • CF1 Director (27 Oct 2008 to 6 Mar 2016)
  • Gail Kathleen Johnson

    IRN GKJ01007

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