ECI Partners LLP

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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 Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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 Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

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

Sean Patrick Whelan
IRN SPW01057
- SMF9 Chair of the Governing Body (since 6 Mar 2025)
- [FCA CF] Client dealing (22 Nov 2021 to 1 Sep 2024)
- SMF27 Partner (9 Dec 2019 to 6 Mar 2025)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (29 Nov 2002 to 8 Dec 2019)
- CF27 Investment Management (29 Nov 2002 to 31 Oct 2007)
Stephen Jamie Roberts
IRN SXR00341
- [FCA CF] Client dealing (since 1 Jan 2021)
Stephen John Rodgers Dawson
IRN SJD01104
- CF4 Partner (29 Nov 2002 to 6 Dec 2019)
Stephen John Tudge
IRN SJT01098
- SMF1 Chief Executive (9 Dec 2019 to 1 Oct 2020)
- SMF27 Partner (9 Dec 2019 to 1 Sep 2024)
- CF3 Chief Executive (1 Jul 2013 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (29 Nov 2002 to 31 Oct 2007)
- CF4 Partner (29 Nov 2002 to 8 Dec 2019)
Suzanne Pike
IRN SXP00586
- [FCA CF] Client dealing (since 17 Nov 2021)
Thomas Wrenn
IRN TXW01195
- SMF27 Partner (since 30 Jul 2021)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (28 May 2008 to 6 Dec 2019)
- CF4 Partner (28 May 2008 to 6 Dec 2019)
Timothy David Raffle
IRN TDR01012
- CF30 Customer (1 Nov 2007 to 3 Jan 2017)
- CF27 Investment Management (29 Nov 2002 to 31 Oct 2007)
- CF4 Partner (29 Nov 2002 to 6 Dec 2019)

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.