Courtiers Investment Services Limited

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

    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 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

    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 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

    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.

  • 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

    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 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
    • · 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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

    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, 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
    • · 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
    • · 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.

  • Graham Lawrence Wand

    IRN GLW00010

    • CF30 Customer (1 Mar 2011 to 26 Dec 2012)
  • Hilary Joan Shaw

    IRN HJS01092

    • CF10a CASS Oversight function (25 Jan 2013 to 1 Apr 2015)
  • Ian James Andrew Gould

    IRN IJG01046

    • CF30 Customer (13 Jul 2009 to 14 Oct 2009)
  • Jacob Reynolds

    IRN JXR02373

    • 14. Managing investments
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (25 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (29 May 2017 to 8 Dec 2019)
  • James Corcoran

    IRN JPC01243

    • CF30 Customer (29 Feb 2012 to 22 Aug 2014)
  • James Dickens

    IRN JXD01031

    • [FCA CF] Functions requiring qualifications (16 May 2025 to 27 Mar 2026)
  • James Howard Timpson

    IRN JHT01055

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (15 May 2017 to 8 Dec 2019)
  • James Stewart Shepperd

    IRN JSS00009

    • CF1 Director (AR) (since 3 Sep 2021)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10a CASS Oversight function (1 Oct 2011 to 1 Jan 2013)
    • CF30 Customer (1 Nov 2007 to 26 Nov 2012)
    • CF3 Chief Executive (18 Jan 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jan 2005 to 22 Nov 2019)
    • CF11 Money Laundering Reporting (18 Jan 2005 to 26 Nov 2012)
    • CF8 Apportionment and Oversight (18 Jan 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (30 Jul 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Joanne Michele Watt

    IRN JMW00014

    • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 30 Apr 2022)
    • [FCA CF] Client dealing (11 Mar 2020 to 30 Apr 2022)
  • John Daniel Kasaska

    IRN DXK00020

    • CF21 Investment Adviser (1 Dec 2001 to 18 Jan 2005)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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