Coutts & Company

Date authorised
1 April 2013
Companies House
00036695
Last scraped
1 week ago

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    440 Strand
    London
    WC2R 0QS
    UNITED KINGDOM
    Phone
    +4402077531000
    Web
    https://www.coutts.com

  • Complaints Contact

    440 Strand
    London
    WC2R 0QS
    UNITED KINGDOM
    Phone
    +4402077531000

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

  • Buy-to-Let Mortgage Admin

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Buy-to-Let Mortgage Lending

  • Mortgage Servicing

    For Customer, Regulated mortgage contract

  • P2P Lending Advice

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial

  • Pension Transfer Advice

    For Retail (Investment), Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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.

  • Land Loan Advice

  • Investment Advice (no pensions)

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

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

  • Arranges Investments

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Commodity Future, Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Arranges Asset Safekeeping

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme

    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.

  • Insurance Admin

    For Retail (Non-Investment Insurance), Commercial, Non-investment insurance contracts

  • Trade Settlement Routing

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Credit Brokering

  • Stockbroking

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme

    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.

  • Debt Plan Admin

  • Debt Collection

  • Debt Advice

  • Mortgage Lending

    For Customer, Regulated mortgage contract

  • Consumer Loans

  • Loan Servicing

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Stakeholder pension scheme, Rights to or interests in investments (Security), Unit, Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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 Retail (Investment), Professional, Eligible Counterparty, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme

    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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme

    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.

  • Electronic Trade Settlement

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Richard John Smith

    IRN RJS01283

    • (433)[FCA CF] Functions requiring qualifications (25 Jul 2019 to 11 Sep 2019)
  • Richard John Trent

    IRN RJT00023

    • (2324)[FCA CF] Functions requiring qualifications (4 Jul 2017 to 9 Feb 2026)
  • Richard John Yeoman

    IRN RXY35344

    • (2325)[PRA CF] Significant risk taker or Material risk taker (7 Aug 2024 to 31 Dec 2024)
    • (2326)[FCA CF] Material risk taker (11 Dec 2018 to 1 Sep 2023)
  • Richard Johnson

    IRN RXJ37293

    • (2130)[FCA CF] Manager of certification employee (4 Aug 2022 to 1 Oct 2022)
    • (2129)[FCA CF] Material risk taker (25 Jun 2018 to 19 Feb 2023)
  • Richard Keith Way

    IRN RKW01028

    • (297)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (298)CF27 Investment Management (30 Nov 2004 to 31 Oct 2007)
  • Richard LaMothe

    IRN RXL37452

    • (1232)[PRA CF] Significant risk taker or Material risk taker (since 3 Oct 2024)
    • (2020)[FCA CF] Manager of certification employee (4 Jun 2021 to 20 Mar 2023)
    • (2019)[FCA CF] Material risk taker (16 Apr 2019 to 26 Mar 2021)
  • Richard Leonard Walter Triggs

    IRN RXT01180

    • (540)CF21 Investment Adviser (6 Aug 2002 to 10 Sep 2007)
    • (539)CF22 Investment Adviser (Trainee) (6 Feb 2002 to 6 Aug 2002)
  • Richard Neil Pearn

    IRN RXP37376

    • (1254)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (1255)[FCA CF] Functions requiring qualifications (since 24 Apr 2017)
  • Richard Noel Pittom

    IRN RXP00020

    • (1050)[PRA CF] Significant risk taker or Material risk taker (1 Jan 2020 to 31 Dec 2020)
  • Richard Paul Stead

    IRN RPS00025

    • (571)2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • (568)14. Managing investments
    • (569)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (570)4. Giving personal recommendations on retail investment products which are not broker funds
    • (572)[FCA CF] Manager of certification employee (since 13 Sep 2023)
    • (573)[FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • (2284)[FCA CF] Manager of certification employee (27 Jul 2021 to 10 Aug 2022)
    • (2283)CF30 Customer (2 Mar 2016 to 6 Mar 2016)
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Recent activity

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

  1. controlled function added: (1113)4. Giving personal recommendations on retail investment products which are not broker funds

  2. controlled function added: (1112)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  3. controlled function added: (1111)[FCA CF] Functions requiring qualifications

  4. controlled function added: (1110)4. Giving personal recommendations on retail investment products which are not broker funds

  5. controlled function added: (1109)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  6. controlled function added: (1108)[FCA CF] Functions requiring qualifications

  7. controlled function added: (1107)4. Giving personal recommendations on retail investment products which are not broker funds

  8. controlled function added: (1106)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  9. controlled function added: (1105)[FCA CF] Functions requiring qualifications

  10. controlled function added: (1104)4. Giving personal recommendations on retail investment products which are not broker funds

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