ES Risks Limited

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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.

P2P Lending Advice

For Commercial, Professional, Retail (Non-Investment Insurance)
Investment Advice (no pensions)

For Commercial, Professional, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments)
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 Commercial, Professional, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments)
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, Professional, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments)

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

Eleanor Mary Tomlin-Maughan
IRN EXT00117
- CF1 Director (AR) (13 Apr 2022 to 14 Jun 2023)
Elliott Jason Smart
IRN EXS18299
- CF1 Director (AR) (7 Aug 2019 to 23 Aug 2021)
Emma Louise Hixon
IRN ELH01050
- CF1 Director (AR) (1 Apr 2016 to 12 Jan 2023)
Eugene Richard Nealon
IRN EXN01105
- CF1 Director (AR) (since 3 Oct 2019)
Fatih Sozer
IRN FXS00153
- CF1 Director (AR) (20 Feb 2023 to 7 Mar 2024)
Faye Elizabeth Patrick
IRN FXD00045
- CF1 Director (AR) (7 Jul 2021 to 9 Jan 2026)
Frank O'Neill
IRN FXO07847
- CF1 Director (AR) (1 Nov 2018 to 20 Dec 2019)
Gary Alexander Lyons
IRN GAL01089
- CF1 Director (AR) (4 Jan 2016 to 1 Mar 2018)
Geoffrey Malcolm Genricks
IRN GXG00206
- CF1 Director (AR) (1 Sep 2022 to 28 Aug 2024)
George William Robert Maughan
IRN GXM00444
- CF1 Director (AR) (9 Jun 2022 to 14 Jun 2023)

Smaller firms operating under this firm's FCA authorisation.

Prominence Support Limited (no longer appointed)
FRN 670706 · Appointed 9 Feb 2015 · Until 3 Jan 2025
Euna Underwriting Limited (no longer appointed)
FRN 655006 · Appointed 20 Nov 2014 · Until 10 Sep 2024
Brokeraide Limited (no longer appointed)
FRN 653645 · Appointed 11 Nov 2014 · Until 1 Oct 2018
Oliva Underwriting and Risk Management Limited (no longer appointed)
FRN 575135 · Appointed 1 Jun 2014 · Until 17 Jul 2015
Boleyn Underwriting Limited (no longer appointed)
FRN 606314 · Appointed 21 Aug 2013 · Until 9 Jul 2015
SUS Solutions Limited (no longer appointed)
FRN 603532 · Appointed 1 Jul 2013 · Until 8 Dec 2015
Northshore Risk Solutions Ltd (no longer appointed)
FRN 600312 · Appointed 29 Apr 2013 · Until 29 Jan 2016
Xeyes Capital Ltd (no longer appointed)
FRN 598151 · Appointed 27 Mar 2013 · Until 2 Dec 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.