EQ Investors Limited

• Principal Place of Business

  Centennium House

  100 Lower Thames Street

  London

  EC3R 6DL

  UNITED KINGDOM

  Phone

  +442074887110

  Web

  https://www.eqinvestors.co.uk

• Complaints Contact

  Centennium House

  100 Lower Thames Street

  London

  EC3R 6DL

  UNITED KINGDOM

  Phone

  +442074887110

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Katharine Lindley

  IRN KSL01007

  • 11. Pension transfer specialist
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 18 Jul 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (10 Jun 2015 to 8 Dec 2019)
• Leo Benedict Bones

  IRN LBB00008

  • CF30 Customer (28 May 2013 to 2 May 2019)
• Mark Alan Howlett

  IRN MAH00031

  • SMF1 Chief Executive (8 Mar 2021 to 2 Nov 2021)
  • SMF3 Executive Director (9 Dec 2019 to 2 Nov 2021)
  • Responsible for Insurance Distribution (4 Jan 2019 to 2 Nov 2021)
  • CF1 Director (20 Nov 2017 to 8 Dec 2019)
• Mark Kenner

  IRN MIK00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Jan 2019)
  • Responsible for Insurance Mediation (12 May 2016 to 30 Sep 2018)
  • CF1 Director (AR) (24 Oct 2011 to 1 Dec 2012)
  • CF30 Customer (1 Jun 2011 to 8 Dec 2019)
  • CF1 Director (1 Jun 2011 to 8 Dec 2019)
• Martin Hugh Clarke Leigh

  IRN MHL00001

  • CF30 Customer (17 Oct 2018 to 30 Sep 2019)
• Matthew James Wiles

  IRN MJW01630

  • [FCA CF] Manager of certification employee (since 1 Jan 2025)
  • [FCA CF] Material risk taker (since 1 Oct 2024)
• Matthew Lewis

  IRN MGL01092

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF3 Executive Director (since 3 Feb 2026)
  • [FCA CF] Manager of certification employee (since 18 Jul 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (8 Sep 2015 to 8 Dec 2019)
• Michel Neumann

  IRN MXN01088

  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • CF1 Director (8 Mar 2016 to 8 Dec 2019)
  • CF30 Customer (8 Mar 2016 to 8 Dec 2019)
• Naomi Catherine Friend

  IRN NCF01011

  • CF30 Customer (8 Aug 2019 to 8 Dec 2019)
• Nathaniel Papadacis

  IRN NXP87496

  • SMF1 Chief Executive (8 Mar 2021 to 21 Oct 2022)
  • SMF3 Executive Director (28 Sep 2020 to 21 Oct 2022)

• Wellserve Financial Limited (no longer appointed)

  FRN 190820 · Appointed 17 Sep 2012 · Until 24 Mar 2014

• Truestone Wellers LLP (no longer appointed)

  FRN 583152 · Appointed 20 Jun 2012 · Until 24 Mar 2014

• Truestone Corporate Solutions Limited (no longer appointed)

  FRN 565658 · Appointed 3 Oct 2011 · Until 21 Jan 2014

No changes recorded yet.