Date authorised
1 April 2013
Companies House
00998606
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Lloyds Banking Group, 33 Old Broad Street
    London
    City Of London
    EC2N 1HZ
    UNITED KINGDOM
    Phone
    +441204803500
  • Complaints Contact

    Lloyds Banking Group, 33 Old Broad Street
    London
    City Of London
    EC2N 1HZ
    UNITED KINGDOM
    Phone
    +441163668681

What this firm is allowed to do

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

  • Authorised to Operate

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

    For Professional, Retail (Investment), Life Policy

    Show 1 limitation
    • · The firm is limited to Arranging deals in investments in the rights under the personal pension scheme(s) that it operates.
  • Trades With You Directly

    For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · The firm is limited to dealing as a principal in investments in the rights under the personal pension scheme(s) that it operates.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Runs Personal Pensions

    For Personal pension scheme

  • Investment Setup

    For Professional, Retail (Investment), Life Policy

    Show 1 limitation
    • · The firm is limited to making arrangements in investments in the rights under the personal pension scheme(s) that it operates.

Approved individuals

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

  • Ana Louise Jordan

    IRN AXJ00360

    • [FCA CF] Significant management (1 Aug 2022 to 3 Apr 2024)
  • Andrew Michael Cork

    IRN AMC01145

    • CF10 Compliance Oversight (14 Jul 2014 to 3 May 2016)
  • Angel Aurora Joy Littler

    IRN AXL00257

    • [FCA CF] Functions requiring qualifications (31 Jan 2021 to 17 Jan 2022)
    • [FCA CF] Significant management (31 Jan 2021 to 17 Jan 2022)
  • Arthur David Cragg

    IRN ADC01184

    • [FCA CF] Significant management (31 Jan 2021 to 30 Jun 2021)
  • Benjamin Burdett Money-Coutts

    IRN BBM01007

    • CF1 Director (29 Jan 2015 to 23 Aug 2016)
    • CF10 Compliance Oversight (19 Nov 2013 to 14 Jul 2014)
    • CF10a CASS Oversight function (10 Jun 2013 to 1 Jun 2015)
  • Bryan Reginald Lowe

    IRN BRL00003

    • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2003)
    • CF10 Compliance Oversight (1 Dec 2001 to 28 Mar 2003)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 28 Mar 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Mar 2003)
  • Carole Marie-Therese Laura Gilling-Smith

    IRN CMG00012

    • CF2 Non Executive Director (1 Dec 2001 to 18 Jul 2003)
  • Catherine Elizabeth Ormerod

    IRN CXO00072

    • [FCA CF] Manager of certification employee (8 Mar 2021 to 15 Feb 2023)
    • [FCA CF] Functions requiring qualifications (8 Mar 2021 to 15 Feb 2023)
  • Charlotte Elizabeth Nolan

    IRN CXN00125

    • [FCA CF] Manager of certification employee (28 Jan 2022 to 1 May 2023)
    • [FCA CF] Functions requiring qualifications (28 Jan 2022 to 1 Nov 2023)
  • Chirantan Barua

    IRN CXB01971

    • SMF3 Executive Director (since 1 Sep 2024)
    • SMF1 Chief Executive (since 1 Sep 2024)

Recent activity

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

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