Date authorised
1 April 2013
Companies House
04040660
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 3, 181 Queen Victoria Street
    London
    EC4V 4EG
    UNITED KINGDOM
    Phone
    +442078320900
  • Complaints Contact

    Level 3
    181 Queen Victoria Street
    London
    EC4V 4EG
    UNITED KINGDOM
    Phone
    +442078320900

What this firm is allowed to do

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

  • 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.
  • 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.
  • Investment Setup

    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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

  • Adam Richard Brown

    IRN AXB00487

    • SMF3 Executive Director (30 Sep 2022 to 3 Feb 2025)
    • [FCA CF] Client dealing (25 Feb 2021 to 14 Feb 2025)
  • Adrian Robert Rader

    IRN AXR01849

    • CF10 Compliance Oversight (22 Aug 2016 to 8 Jan 2018)
    • CF11 Money Laundering Reporting (22 Aug 2016 to 8 Jan 2018)
  • Alistair Euan Kennedy

    IRN AEK01030

    • CF30 Customer (1 Nov 2007 to 21 Mar 2016)
    • CF21 Investment Adviser (28 Aug 2007 to 31 Oct 2007)
  • Ana Lisa Haurie-Kilmartin

    IRN ALH01051

    • CF1 Director (AR) (6 May 2009 to 25 Aug 2009)
    • CF28 Systems and controls (8 Feb 2008 to 24 Dec 2015)
    • CF30 Customer (1 Nov 2007 to 24 Dec 2015)
    • CF8 Apportionment and Oversight (10 Jan 2007 to 31 Oct 2007)
    • CF3 Chief Executive (10 Jan 2007 to 24 Dec 2015)
    • CF1 Director (8 Apr 2005 to 24 Dec 2015)
    • CF21 Investment Adviser (12 Nov 2003 to 31 Oct 2007)
  • Andrew Michael Gale

    IRN AMG01083

    • CF30 Customer (1 Nov 2007 to 24 Jan 2009)
    • CF21 Investment Adviser (6 Sep 2004 to 31 Oct 2007)
  • Anthony John Charles Harmer

    IRN AJH01294

    • CF30 Customer (1 Jun 2018 to 8 Jul 2019)
  • Cameron David Shaw

    IRN CXS00436

    • CF30 Customer (12 Nov 2021 to 18 Nov 2021)
  • Catherine Maree Hales

    IRN CMH01200

    • CF1 Director (16 Dec 2016 to 20 Nov 2018)
    • CF30 Customer (16 Dec 2016 to 20 Nov 2018)
    • CF3 Chief Executive (16 Dec 2016 to 20 Nov 2018)
  • Daniel Maurice Balabanoff

    IRN DMB01204

    • CF30 Customer (1 Nov 2007 to 31 Jul 2019)
    • CF21 Investment Adviser (12 Dec 2006 to 31 Oct 2007)
  • David Allan Cubbin

    IRN DAC01258

    • [FCA CF] Client dealing (25 Feb 2021 to 16 Jan 2023)
    • SMF3 Executive Director (5 Jun 2020 to 27 Jun 2022)

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.