EC3 Brokers Limited

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Addresses

The contact details this firm has registered with the FCA.

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

Investment Advice (no pensions)

For Commercial, Non-investment insurance contracts
Authorised to Operate
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- · 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
Insurance Admin

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

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

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

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

Abigail Barber
IRN AXB00798
- Director of firm who is not a certification employee or a SMF manager (since 10 Jun 2021)
Charles Connell
IRN CXC00324
- [FCA CF] Significant management (31 Mar 2021 to 31 Aug 2021)
Christopher Michael Giles
IRN CMG00027
- CF2 Non Executive Director (1 Apr 2014 to 25 Jan 2018)
Daniel John Topping
IRN DJT01220
- Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 10 Jun 2021)
- CF2 Non Executive Director (1 May 2018 to 8 Dec 2019)
Daniel Jon Driscoll
IRN DJD01217
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
- CF1 Director (1 Apr 2014 to 8 Dec 2019)
- CF3 Chief Executive (1 Apr 2014 to 8 Dec 2019)
David Purdy
IRN DXP00264
- [FCA CF] Significant management (since 31 Mar 2021)
David Roberts
IRN DXR00241
- [FCA CF] Significant management (since 31 Mar 2021)
Howard James Cheetham
IRN HJC01014
- SMF9 Chair of the Governing Body (14 Feb 2020 to 31 Dec 2021)
- CF2 Non Executive Director (18 Apr 2016 to 8 Dec 2019)
James Barclay Tudor Davies
IRN JBD01047
- [FCA CF] Significant management (31 Mar 2021 to 31 Aug 2021)
James Murphy
IRN JXM76729
- SMF3 Executive Director (since 15 Jul 2020)

Smaller firms operating under this firm's FCA authorisation.

EC3 Brokers Europe Ltd - UK Branch
FRN 949526 · Appointed 21 Apr 2021
Caerus (US) LLC (no longer appointed)
FRN 970546 · Appointed 23 Feb 2022 · Until 30 Mar 2026
Allied Holdings and Consultants Limited (no longer appointed)
FRN 842567 · Appointed 21 May 2019 · Until 15 Nov 2019
IMPRESS: The Independent Monitor for the Press CIC (no longer appointed)
FRN 792336 · Appointed 25 Oct 2017 · Until 13 Sep 2021
Live Nation (Music) UK Ltd (no longer appointed)
FRN 477059 · Appointed 2 Jul 2015 · Until 15 Oct 2021
PIB Limited (no longer appointed)
FRN 628317 · Appointed 15 Jul 2014 · Until 19 Oct 2015

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.