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

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  • · 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

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  • · 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

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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, 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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.

• Neil Francis Walker

  IRN NFW01005

  • CF30 Customer (25 Oct 2011 to 21 Dec 2012)
• Neil Sandy

  IRN NXS01479

  • CF4 Partner (AR) (28 Aug 2012 to 1 Mar 2014)
  • CF1 Director (AR) (24 Oct 2011 to 1 Dec 2012)
  • CF1 Director (1 Jun 2011 to 10 Oct 2014)
• Nicholas James Kershaw

  IRN NJK01066

  • CF30 Customer (29 Apr 2014 to 28 Aug 2015)
• Nicola Allen

  IRN NJA01083

  • CF30 Customer (17 Sep 2015 to 15 Feb 2019)
• Owen Catling

  IRN OXC00050

  • [FCA CF] Functions requiring qualifications (16 Sep 2022 to 9 Jan 2024)
• Paul Martin

  IRN PJM00164

  • CF1 Director (AR) (28 Sep 2012 to 17 Oct 2013)
  • CF4 Partner (AR) (7 Sep 2012 to 17 Oct 2013)
• Paul Roland Trueman

  IRN PRT01062

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (21 Oct 2014 to 8 Dec 2019)
  • CF28 Systems and controls (21 Oct 2014 to 8 Dec 2019)
• Paul Szkiler

  IRN PNS00011

  • CF3 Chief Executive (19 Apr 2013 to 10 Oct 2014)
  • CF4 Partner (AR) (29 Aug 2012 to 1 Mar 2014)
  • CF1 Director (AR) (4 Nov 2011 to 1 Mar 2014)
  • CF30 Customer (1 Jun 2011 to 30 Dec 2012)
  • CF1 Director (1 Jun 2011 to 10 Oct 2014)
• Peter Brennan

  IRN PFB00001

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
  • CF30 Customer (1 Jun 2011 to 8 Dec 2019)
• Peter Hargreaves

  IRN PXH02157

  • 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] Functions requiring qualifications (since 29 Sep 2023)
  • [FCA CF] Client dealing (since 29 Sep 2023)

• 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.