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

• Justin Mark Jarrett

  IRN JMJ01071

  • SMF5 Head of Internal Audit (7 Mar 2016 to 25 Nov 2019)
  • CF1 Director (23 Aug 2010 to 6 Mar 2016)
• Kari Hale

  IRN KXH00235

  • SMF11 Chair of the Audit Committee (since 16 Nov 2023)
  • Director of firm who is not a certification employee or a SMF manager (28 Jun 2023 to 16 Nov 2023)
• Kevin Page

  IRN KXP01298

  • [PRA CF] Significant risk taker or Material risk taker (since 2 Sep 2025)
  • [FCA CF] Material risk taker (since 2 Sep 2025)
• Kimberly Law

  IRN KXL00211

  • [FCA CF] Material risk taker (28 Jun 2022 to 30 Apr 2024)
• Kirsten Lazarus

  IRN KXL00175

  • [FCA CF] Material risk taker (3 Dec 2024 to 1 Dec 2025)
• Leslie Martin Bland

  IRN LMB01038

  • CF1 Director (1 Dec 2001 to 31 Jul 2004)
• Louise Madeleine Convoy

  IRN LMC01044

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

  IRN LAB01152

  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Jan 2020)
  • CF29 Significant management (22 Sep 2015 to 6 Mar 2016)
• Malcolm Paul Hook

  IRN MPH01134

  • SMF7 Group Entity Senior Manager (14 Jul 2017 to 16 Nov 2020)
  • SMF3 Executive Director (7 Mar 2016 to 17 Jul 2017)
  • CF1 Director (10 May 2010 to 6 Mar 2016)
• Margaret Lesley Jones

  IRN MLJ01008

  • SMF10 Chair of the Risk Committee (7 Mar 2016 to 17 Nov 2022)
  • CF2 Non Executive Director (21 Mar 2014 to 6 Mar 2016)

• 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.