ES Risks Limited

Watch for changes

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
Show 1 limitation Hide limitations
- · 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.

Simon James Long
IRN SJL01335
- CF1 Director (AR) (26 Jan 2017 to 28 Mar 2017)
Simon Maxwell James Hargreaves
IRN SMH01091
- CF1 Director (AR) (since 7 Jul 2022)
Simon Roy Kates
IRN SXK88438
- CF1 Director (AR) (since 24 Jul 2020)
Stephen David Bottley
IRN SDB01139
- CF1 Director (AR) (23 Aug 2017 to 11 May 2018)
Stephen James Smith
IRN SJS01354
- CF1 Director (AR) (26 Jan 2017 to 25 Mar 2019)
Stephen James Taylor
IRN SXT00660
- CF1 Director (AR) (since 2 May 2024)
Stuart Allan Thomas
IRN SXT00434
- CF1 Director (AR) (since 12 Jul 2022)
Stuart Paul Rootham
IRN SPR01062
- Director of firm who is not a certification employee or a SMF manager (28 Nov 2023 to 2 Jan 2025)
- SMF3 Executive Director (2 Feb 2023 to 28 Nov 2023)
Thomas James Purslove Barker
IRN TJB01222
- CF1 Director (AR) (22 Dec 2022 to 17 Dec 2024)
Thomas Nimmo
IRN TXN01302
- CF1 Director (AR) (24 Oct 2016 to 16 Sep 2019)

Smaller firms operating under this firm's FCA authorisation.

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.