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.

  • Christopher John George Moulder

    IRN CJM01477

    • SMF9 Chair of the Governing Body (since 23 Dec 2025)
    • Director of firm who is not a certification employee or a SMF manager (1 Sep 2024 to 31 Oct 2025)
  • Christopher Roy Spencer

    IRN CRS01124

    • SMF1 Chief Executive (13 May 2022 to 1 Nov 2022)
    • SMF3 Executive Director (6 Oct 2021 to 1 Nov 2022)
  • Claire Louise Austin

    IRN CXA00124

    • [FCA CF] Functions requiring qualifications (31 Jan 2021 to 4 Jan 2022)
  • Colin Stephen Moody

    IRN CSM01099

    • [FCA CF] Significant management (31 Jan 2021 to 31 Jan 2022)
  • David Andrew Lowe

    IRN DXL33475

    • SMF3 Executive Director (1 Apr 2022 to 31 Aug 2022)
    • [FCA CF] Significant management (31 Jan 2021 to 31 Aug 2022)
  • David John Etherington

    IRN DJE01069

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 4 Apr 2021)
    • CF2 Non Executive Director (5 Jul 2017 to 8 Dec 2019)
  • David John McCulloch Wilson

    IRN DJW01185

    • CF11 Money Laundering Reporting (1 May 2014 to 30 Sep 2014)
  • David Paul Burren

    IRN DPB00001

    • CF21 Investment Adviser (1 Dec 2001 to 22 Aug 2003)
  • Deborah Lee Llewelyn

    IRN DXL00284

    • Director of firm who is not a certification employee or a SMF manager (1 Sep 2024 to 18 Mar 2025)
  • Dena Brumpton

    IRN DJB01676

    • Director of firm who is not a certification employee or a SMF manager (since 2 Feb 2026)

Recent activity

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

No changes recorded yet.