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

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    7 Harbour Buildings
    The Waterfront
    Brierley Hill
    Dudley
    West Midlands
    DY5 1LN
    UNITED KINGDOM
    Phone
    +4401384231414
  • Complaints Contact

    7 Harbour Buildings
    The Waterfront
    Brierley Hill
    Dudley
    West Midlands
    DY5 1LN
    UNITED KINGDOM
    Phone
    +4401384231414

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 Lending

  • Mortgage Servicing

    For Customer, Regulated mortgage contract

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

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Stockbroking

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

  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), 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), 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), Rolling spot forex contract, Spread Bet

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
  • Mortgage Lending

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Stakeholder pension scheme, Unit

Approved individuals

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

  • David John Milner

    IRN DJM01457

    • SMF9 Chair of the Governing Body (3 Aug 2016 to 16 Jul 2020)
    • SMF10 Chair of the Risk Committee (7 Mar 2016 to 3 Aug 2016)
    • SMF14 Senior Independent Director (7 Mar 2016 to 3 Aug 2016)
    • CF2 Non Executive Director (1 Jan 2009 to 6 Mar 2016)
  • Derek Robert Thomson

    IRN DRT01028

    • CF2 Non Executive Director (1 Dec 2001 to 31 Jul 2003)
  • Elizabeth Hart

    IRN EXH00065

    • [PRA CF] Significant risk taker or Material risk taker (4 Jan 2021 to 16 Oct 2023)
    • [FCA CF] Material risk taker (4 Jan 2021 to 16 Oct 2023)
  • Geoffrey John Caves

    IRN GJC01090

    • CF10 Compliance Oversight (16 Mar 2011 to 29 Mar 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 29 Mar 2012)
    • CF3 Chief Executive (1 Dec 2001 to 29 Mar 2012)
    • CF1 Director (1 Dec 2001 to 29 Mar 2012)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • James Anderson Muir

    IRN JAM01505

    • SMF11 Chair of the Audit Committee (1 Jan 2018 to 23 Sep 2019)
  • James Ian Alexander Paterson

    IRN JXP00567

    • SMF1 Chief Executive (since 9 Jun 2022)
  • James Rupert Dominic Anton

    IRN JRA01055

    • CF2 Non Executive Director (1 Dec 2001 to 14 Mar 2014)
  • Jeremy Robin Wood

    IRN JRW01145

    • Responsible for Insurance Distribution (1 Oct 2018 to 10 Jun 2022)
    • Responsibility for MCD Intermediation (22 Sep 2016 to 10 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 25 Jan 2021)
    • SMF1 Chief Executive (7 Mar 2016 to 10 Jun 2022)
    • CF11 Money Laundering Reporting (17 Jul 2013 to 6 Mar 2016)
    • Responsible for Insurance Mediation (6 Jun 2012 to 30 Sep 2018)
    • CF1 Director (6 Jun 2012 to 6 Mar 2016)
    • CF10 Compliance Oversight (6 Jun 2012 to 14 Mar 2014)
    • CF3 Chief Executive (6 Jun 2012 to 6 Mar 2016)
  • Joanna Rosamund Ann Baldwin

    IRN JXB00753

    • Director of firm who is not a certification employee or a SMF manager (4 May 2021 to 9 Dec 2024)
  • John Frederick Fellows

    IRN JFF01021

    • CF2 Non Executive Director (1 Dec 2001 to 31 Mar 2007)

Recent activity

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

No changes recorded yet.