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

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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.

• Rhys Morgan

  IRN RXM01160

  • 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 16 May 2025)
• Richard Adam Wyndham Pearce

  IRN RAP00060

  • 11. Pension transfer specialist
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (15 Mar 2011 to 1 Apr 2019)
  • CF30 Customer (4 Feb 2011 to 8 Dec 2019)
• Richard Andrew Gross

  IRN RAG01072

  • CF21 Investment Adviser (2 Oct 2003 to 26 Mar 2004)
  • CF22 Investment Adviser (Trainee) (27 Feb 2002 to 2 Oct 2003)
• Richard Andrew Sykes

  IRN RAS01334

  • [FCA CF] Client dealing (1 Oct 2021 to 20 Aug 2025)
  • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 20 Aug 2025)
• Richard Ian Kafton

  IRN RIK00001

  • CF30 Customer (1 Oct 2009 to 2 Feb 2010)
  • CF1 Director (AR) (1 Oct 2009 to 2 Feb 2010)
• Rikki Dore

  IRN RJD01207

  • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2023 to 6 Jun 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Jun 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Jun 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Jun 2025)
  • CF30 Customer (4 Apr 2016 to 8 Dec 2019)
• Robert Jack Smith

  IRN RJS00090

  • [FCA CF] Client dealing (1 Oct 2021 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (1 Oct 2021 to 31 Mar 2025)
• Robert Paul Amor

  IRN RPA00005

  • CF1 Director (AR) (17 Jun 2011 to 3 May 2018)
  • CF30 Customer (1 Apr 2008 to 1 Jul 2017)
• Sagar Dholiwar

  IRN SXD01523

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • 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] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (27 Mar 2013 to 8 Dec 2019)
• Sajni Shah

  IRN SXS03137

  • CF30 Customer (22 Jul 2013 to 15 Feb 2017)

• 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.