Date authorised
1 August 2023
Companies House
03721499
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The St. Botolph Building
    138 Houndsditch
    London
    EC3A 7AG
    UNITED KINGDOM
  • Complaints Contact

    The St. Botolph Building
    138 Houndsditch
    London
    City Of London
    EC3A 7AG
    UNITED KINGDOM
    Phone
    +4401212324515

What this firm is allowed to do

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

  • Investment Advice (no pensions)

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

  • Authorised to Operate

    Show 1 limitation
    • · 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

  • Credit Brokering

  • Stockbroking

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

  • Investment Setup

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

Approved individuals

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

  • Alistair James Christopher Rivers

    IRN AJR01262

    • Responsible for Insurance Distribution (since 14 Feb 2025)
    • SMF1 Chief Executive (since 15 Jul 2024)
  • Andrew Monkhouse

    IRN AXM03178

    • SMF3 Executive Director (5 Mar 2024 to 14 Mar 2025)
  • David Alan Rogerson

    IRN DXR00223

    • [FCA CF] CASS oversight function (22 Mar 2021 to 13 Jan 2023)
  • David Anthony Edwards

    IRN DAE01053

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (9 Dec 2019 to 21 Jun 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 21 Jun 2024)
    • CF1 Director (3 Feb 2014 to 8 Dec 2019)
    • CF3 Chief Executive (3 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Feb 2014 to 30 Sep 2018)
  • David John Joseph Mullen

    IRN DJM01665

    • CF1 Director (19 Nov 2015 to 29 Mar 2018)
  • David Lewis Malcolm Von Alwyn

    IRN DLV00004

    • SMF3 Executive Director (9 Dec 2019 to 12 Jan 2023)
    • CF1 Director (1 Sep 2016 to 8 Dec 2019)
  • Derek Anthony Napier

    IRN DAN01075

    • SMF3 Executive Director (17 Feb 2020 to 12 Jan 2023)
    • CF29 Significant management (4 Dec 2018 to 8 Dec 2019)
    • CF1 Director (11 Aug 2015 to 4 Dec 2018)
  • Ian Kerrison

    IRN IXK00013

    • SMF3 Executive Director (since 15 Mar 2025)
  • Jennie Thomas

    IRN JXT00149

    • [FCA CF] CASS oversight function (since 1 Jun 2020)
  • Jonathan Saverio William Ardolino

    IRN JSA01079

    • SMF3 Executive Director (1 Apr 2020 to 12 Jan 2023)
    • CF29 Significant management (4 Dec 2018 to 8 Dec 2019)
    • CF1 Director (11 Aug 2015 to 4 Dec 2018)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.