Date authorised
1 April 2013
Companies House
03742463
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    74-75 County Street
    Ground Floor and Mezzanine Floor
    London
    SE1 4AD
    ENGLAND
    Phone
    +4402074895300
  • Complaints Contact

    Flat 59
    Tamarind Court
    18 Gainsford Street
    London
    SE1 2NE
    UNITED KINGDOM
    Phone
    +442074895301

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Manfred Seyfried

    IRN MXS02147

    • CF1 Director (3 Jun 2005 to 21 Mar 2007)
  • Mark A Vogelgesang

    IRN MAV01023

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 31 Dec 2012)
  • Owen Doerfler

    IRN OXD01018

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Jan 2006 to 31 Oct 2007)
  • Paul Ffolkes Davis

    IRN PFD01017

    • CF21 Investment Adviser (1 Dec 2001 to 2 Jun 2003)
    • CF1 Director (1 Dec 2001 to 2 Jun 2003)
  • Roger Anthony Jones

    IRN RAJ01060

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (8 Jun 2006 to 31 Oct 2007)
    • CF1 Director (8 Jun 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Jun 2006 to 31 Oct 2007)
  • Ulrich Paul Heinrich Kissing

    IRN UPK01000

    • CF1 Director (18 Feb 2009 to 31 Aug 2009)

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.