Courtiers Investment Services Limited

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FRN: 124995
Date authorised: 1 April 2013
Companies House: 01387954
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

18 Hart Street

Henley-on-Thames

Oxfordshire

RG9 2AU

UNITED KINGDOM

Phone

+4401491578368

Web

https://www.courtiers.co.uk
Complaints Contact

Courtiers Investment Services

18 Hart Street

Henley-On-Thames

Oxfordshire

RG9 2AU

UNITED KINGDOM

Phone

+441491578368

What this firm is allowed to do

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

P2P Lending Advice

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)
Pension Transfer Advice

For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit
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- · 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 Advice (no pensions)

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant
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- · 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
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant
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- · 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.
Arranges Asset Safekeeping

For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
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- · 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 Professional, Retail (Investment), 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, Spread Bet, Unit, Warrant
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- · 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.
Trades With You Directly

For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Unit
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- · Limited to Investment Companies with Variable Capital box management activities and in carrying on such activities to the specified investments, ¿unit¿, ¿option (excluding a commodity option and an option on commodity futures)¿, ¿future (excluding a commodity future and a rolling spot forex contract) and rights to or interests in investments ¿ contractually based investments¿, (when the later is associated with these specified investments).
- · Limited to acting as an operator of a collective investment scheme
Debt Advice
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- · This permission is limited to debt counselling with no debt management activity
Runs Personal Pensions

For Professional, Retail (Investment), Personal pension scheme
Investment Setup

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant
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- · 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, Retail (Investment), 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, Spread Bet, Unit, Warrant
Show 1 limitation 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.
Holds Your Assets

For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
Show 1 limitation 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.

Approved individuals

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

Andrew Edward Snowdon
IRN AES00005
- CF30 Customer (2 May 2019 to 8 Dec 2019)
Barry Victor Stanley
IRN BXS00062
- [FCA CF] Client dealing (10 Jun 2021 to 28 Aug 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Aug 2024)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Jun 2021)
- CF1 Director (AR) (25 Apr 2018 to 9 Jun 2021)
- CF30 Customer (25 Apr 2018 to 9 Jun 2021)
Callum Rowe
IRN CXR00632
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 5 Aug 2025)
Caroline Emma Shaw
IRN CES01037
- [FCA CF] Material risk taker (9 Dec 2019 to 20 Aug 2021)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Aug 2021)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (27 Feb 2002 to 31 Oct 2007)
- CF21 Investment Adviser (27 Feb 2002 to 18 Aug 2004)
Caroline Mary Jones
IRN CMJ00015
- CF21 Investment Adviser (27 Feb 2002 to 26 Feb 2007)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 Feb 2002)
Connor Stapley
IRN CXS00478
- [FCA CF] Functions requiring qualifications (9 Dec 2021 to 26 Jul 2024)
- [FCA CF] Client dealing (9 Dec 2021 to 26 Jul 2024)
Daniel Peter Bell
IRN DXB00464
- [FCA CF] Material risk taker (since 9 Dec 2019)
David Alexander Nicholsby
IRN DAN01077
- CF30 Customer (14 Nov 2017 to 8 Dec 2019)
David John Robinson
IRN DJR00090
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Oct 2021)
- [FCA CF] Client dealing (since 1 Oct 2021)
David Paul Garwood
IRN DXG00252
- [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2022)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Graham Lawrence Wand (no longer appointed)
FRN 206546 · Appointed 20 Jan 2011 · Until 9 Jan 2015
Geoffrey Crocker (no longer appointed)
FRN 523016 · Appointed 27 Apr 2010 · Until 8 Jan 2013
Richard Kafton & Company Ltd (no longer appointed)
FRN 507346 · Appointed 24 Sep 2009 · Until 27 Jan 2010
DTM's Life & Pensions Ltd (no longer appointed)
FRN 496328 · Appointed 12 Feb 2009 · Until 3 Jan 2012
Courtiers (Castlebridge) Financial Consultants Ltd (no longer appointed)
FRN 480694 · Appointed 20 Mar 2008 · Until 1 Dec 2020
Michael Adams (no longer appointed)
FRN 472294 · Appointed 3 Sep 2007 · Until 7 Jun 2013
The Simon Bridgman Partnership (no longer appointed)
FRN 472295 · Appointed 3 Sep 2007 · Until 17 May 2013

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.