Date authorised
1 April 2013
Companies House
03681529
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    8-12 York Gate
    100 Marylebone Road
    London
    NW1 5DX
    UNITED KINGDOM
    Phone
    +4402079688300
  • Complaints Contact

    8-12 York Gate
    100 Marylebone Road
    London
    NW1 5DX
    UNITED KINGDOM
    Phone
    +4402079688300

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

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

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

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

    For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

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

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

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

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

Approved individuals

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

  • Ashish Devani

    IRN AXD01311

    • CF21 Investment Adviser (3 Sep 2004 to 20 Nov 2006)
  • Barry Abraham Stiefel

    IRN BAS01090

    • CF30 Customer (17 Nov 2009 to 30 Jan 2024)
  • Barry Ian Stillerman

    IRN BIS00003

    • CF30 Customer (5 Mar 2008 to 9 Sep 2013)
  • Benjamin Bosnino

    IRN BXB01742

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Dec 2015 to 8 Dec 2019)
  • Benjamin Jeremy Newton

    IRN BJN01025

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (9 Sep 2014 to 8 Dec 2019)
  • Brian Desmond Shone

    IRN BXS00173

    • [FCA CF] Material risk taker (since 27 Sep 2022)
    • [FCA CF] Significant management (since 1 Dec 2021)
    • [FCA CF] Material risk taker (1 Mar 2020 to 30 Nov 2021)
  • Bruce Carnegie-Brown

    IRN BNC01007

    • CF1 Director (AR) (14 Nov 2011 to 24 Sep 2012)
    • CF30 Customer (28 Sep 2011 to 14 Dec 2012)
  • Calvin Shaun Peter Mclean

    IRN CXM00672

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 26 May 2022)
    • [FCA CF] Client dealing (since 26 May 2022)
  • Charl Hatley van der Merwe

    IRN CHV01003

    • SMF1 Chief Executive (since 30 Sep 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (23 Jan 2018 to 8 Dec 2019)
  • Christopher Hugh Hallam

    IRN CHH01050

    • [FCA CF] Client dealing (9 Dec 2019 to 19 Oct 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Oct 2020)
    • CF30 Customer (19 Oct 2019 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.