Date authorised
28 April 2016
Companies House
06864342
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor Adler House
    35-36 Eagle Street
    London
    WC1R 4AQ
    UNITED KINGDOM
    Phone
    +4402039112442
  • Complaints Contact

    2nd Floor Adler House
    35-36 Eagle Street
    London
    WC1R 4AQ
    UNITED KINGDOM
    Phone
    +4402039112442

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Manages Your Portfolio

    For Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alasdair William Lorn Macdougall

    IRN AXM02550

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (28 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Apr 2016 to 8 Dec 2019)
  • Alexandra Steele

    IRN APS00002

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (28 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (28 Apr 2016 to 8 Dec 2019)
  • Anthony Wilkinson

    IRN AXW21529

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (21 Oct 2019 to 8 Dec 2019)
  • Colin John Leggett

    IRN CJL01104

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (12 May 2016 to 8 Dec 2019)
  • Heather Caroline Seton Manners

    IRN HCM01015

    • Director of firm who is not a certification employee or a SMF manager (since 15 Feb 2022)
  • Mark William Lamy

    IRN MXL02085

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 7 Feb 2023)
    • CF2 Non Executive Director (28 Apr 2016 to 8 Dec 2019)
  • Mihai Cristian Nechita

    IRN MCN01038

    • CF30 Customer (28 Apr 2016 to 3 Nov 2017)
  • Symon Stickney

    IRN SXS02530

    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Apr 2016 to 8 Dec 2019)
    • CF1 Director (28 Apr 2016 to 8 Dec 2019)

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.