EC3 Brokers Limited

Watch for changes

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
Show 1 limitation Hide limitations
- · 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.

John Collier
IRN JXC00615
- [FCA CF] Significant management (since 31 Mar 2021)
Madeline New
IRN MXN00158
- [FCA CF] Significant management (since 31 Mar 2021)
Matthew Jeffery
IRN MXJ00182
- [FCA CF] Significant management (since 31 Mar 2021)
Michael James Fletcher
IRN MJF01138
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
- CF2 Non Executive Director (1 Apr 2014 to 8 Dec 2019)
Nicky Anderson Lowe
IRN NXA00119
- [FCA CF] Significant management (since 31 Mar 2021)
Simon Harvey
IRN SXH02346
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (26 Aug 2014 to 8 Dec 2019)
Steven William Taylor
IRN SWT01036
- CF2 Non Executive Director (17 Apr 2018 to 8 Dec 2019)
Stuart James Markley
IRN SJM01564
- CF1 Director (1 Apr 2014 to 17 Jun 2014)

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.