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

• James Michael Whitwood

  IRN JMW01121

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

  IRN JPW01105

  • CF2 Non Executive Director (20 Dec 2004 to 9 Feb 2009)
• James Smith

  IRN JXS84554

  • [FCA CF] Manager of certification employee (since 28 Nov 2024)
  • [FCA CF] Material risk taker (since 18 Dec 2023)
  • [FCA CF] Significant management (since 18 Dec 2023)
• James Vincent Toft

  IRN JVT01008

  • CF1 Director (AR) (14 Jan 2005 to 17 Dec 2007)
• Janet Clark Wilson

  IRN JCW01143

  • CF1 Director (16 Oct 2008 to 24 Aug 2009)
  • CF1 Director (AR) (14 Jan 2005 to 17 Dec 2007)
• John Earps

  IRN JXE01117

  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2006)
• John Fawcett

  IRN JXF00575

  • [FCA CF] Significant management (since 13 Dec 2023)
  • [FCA CF] Material risk taker (since 13 Dec 2023)
• John Meakin

  IRN JXM01443

  • [FCA CF] Material risk taker (19 Aug 2024 to 31 Mar 2025)
• Jonathan Anton George Howell

  IRN JAH01392

  • SMF3 Executive Director (22 Jun 2017 to 15 Nov 2018)
  • SMF7 Group Entity Senior Manager (7 Mar 2016 to 22 Jun 2017)
  • CF1 Director (22 Jan 2010 to 6 Mar 2016)
  • CF2 Non Executive Director (22 Jun 2009 to 22 Jan 2010)
• Jonathan Pumfleet

  IRN JXP00558

  • [FCA CF] Material risk taker (26 Nov 2021 to 31 May 2024)

• 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.