Courtiers Investment Services Limited

• 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

• 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.

• Michael Dennis Wiggins

  IRN MDW00003

  • CF30 Customer (10 Oct 2014 to 30 Jul 2015)
  • CF1 Director (AR) (10 Oct 2014 to 30 Jul 2015)
• Minesh Jaikishen Parmar

  IRN MXP00052

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 10 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Jun 2021)
  • CF1 Director (AR) (23 Apr 2018 to 9 Jun 2021)
  • CF30 Customer (23 Apr 2018 to 9 Jun 2021)
• Mohammed Hassan Latif

  IRN MXL00776

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 5 Aug 2025)
• Paul Kemsley

  IRN PJK01107

  • [FCA CF] Client dealing (9 Dec 2019 to 16 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 May 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 May 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 16 May 2025)
  • CF30 Customer (5 Nov 2013 to 8 Dec 2019)
• Paul Michael Harwood

  IRN PMH01119

  • CF30 Customer (1 Nov 2007 to 2 Jul 2011)
  • CF21 Investment Adviser (14 Sep 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (9 Feb 2006 to 14 Sep 2006)
• Paul Michael Stewart-Gillham

  IRN PMS01201

  • [FCA CF] CASS oversight function (1 Oct 2022 to 9 Jul 2025)
  • [FCA CF] Material risk taker (22 Feb 2021 to 9 Jul 2025)
  • [FCA CF] Functions requiring qualifications (22 Feb 2021 to 9 Jul 2025)
• Pavinder Rehal

  IRN PXR00187

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Philip Craddock

  IRN PXC00024

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jul 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Jul 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 3 Jul 2023)
  • CF1 Director (AR) (17 Jun 2011 to 1 Dec 2020)
  • CF30 Customer (1 Apr 2008 to 1 Dec 2020)
• Philip George Manning

  IRN PGM00006

  • CF10 Compliance Oversight (1 Dec 2001 to 1 Apr 2004)
  • CF1 Director (1 Dec 2001 to 1 Apr 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2004)
• Phillip Greenwood

  IRN PXG00204

  • [FCA CF] Material risk taker (9 Dec 2019 to 12 May 2022)

• 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

No changes recorded yet.