Date authorised
19 May 2017
Companies House
10271494
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    15 Stukeley Street
    London
    WC2B 5LT
    UNITED KINGDOM
    Phone
    +4402074871244
  • Complaints Contact

    15 Stukeley Street
    London
    WC2B 5LT
    UNITED KINGDOM
    Phone
    +447471522427

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 Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, 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), 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.
  • 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, Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, 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), 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.
  • Insurance Admin

    For Commercial, Non-investment insurance contracts

  • Runs Investment Funds

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, 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), 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.

  • Nicholas Andrew James Martin

    IRN NAM01109

    • SMF3 Executive Director (since 16 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Apr 2025)
    • SMF16 Compliance Oversight (since 28 Apr 2025)
  • Raffi Killian

    IRN RXK00461

    • [FCA CF] Client dealing (since 1 Jun 2023)
  • Robert J Reiskin

    IRN RJR01076

    • SMF1 Chief Executive (20 Jul 2022 to 1 Apr 2024)
    • Responsible for Insurance Distribution (20 Jul 2022 to 1 Apr 2024)
    • SMF3 Executive Director (20 Jul 2022 to 1 Apr 2024)
  • Sarah Emery

    IRN SXE01528

    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Feb 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Feb 2022)
    • CF11 Money Laundering Reporting (19 May 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 May 2017 to 8 Dec 2019)
  • Terrence James Currier

    IRN TJC01160

    • SMF3 Executive Director (29 Sep 2022 to 26 Sep 2025)
  • Thomas Wattles

    IRN TXW00325

    • [FCA CF] Client dealing (since 1 Apr 2024)
    • SMF1 Chief Executive (1 Apr 2024 to 9 Jan 2026)
    • SMF3 Executive Director (1 Apr 2024 to 9 Jan 2026)
  • William Simon Mark Hodson

    IRN WSH01027

    • CF1 Director (20 Jun 2017 to 4 May 2018)

Recent activity

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

No changes recorded yet.