Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
Unit 1Elm Court Meriden Business Park, Copse DriveCoventryWest MidlandsCV5 9RGUNITED KINGDOM- Phone
- +4401676525390
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Complaints Contact
Unit 1Elm CourtMeriden Business ParkCopse DriveCoventryWest MidlandsCV5 9RGUNITED KINGDOM- Phone
- +4401676525390
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Pension Transfer Advice
For 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.
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Investment Advice (no pensions)
For Commercial, 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.
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Commercial, 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
Show 1 limitation Hide limitations
- · 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.
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Investment Setup
For Commercial, 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
Show 1 limitation Hide limitations
- · 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.
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Colin William Prescott
IRN CWP00005
- 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
- 11. Pension transfer specialist
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (since 2 Jan 2013)
- CF1 Director (AR) (21 Dec 2021 to 1 Nov 2025)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2025)
- SMF3 Executive Director (9 Dec 2019 to 1 Nov 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Nov 2025)
- Responsible for Insurance Distribution (1 Oct 2018 to 1 Nov 2025)
- CF1 Director (2 Jan 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 Jan 2013 to 8 Dec 2019)
- Responsible for Insurance Mediation (2 Jan 2013 to 30 Sep 2018)
- CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
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Jennifer Anne Pearce
IRN JAP01245
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- Responsible for Insurance Distribution (since 3 Nov 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2025)
- SMF16 Compliance Oversight (since 1 Nov 2025)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF1 Director (AR) (since 23 Apr 2015)
- CF30 Customer (since 6 Mar 2013)
- CF2 Non Executive Director (AR) (20 Mar 2015 to 23 Apr 2015)
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Jonathan Terence Isaacs
IRN JTI00002
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 11. Pension transfer specialist
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- CF1 Director (AR) (since 4 Mar 2022)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (since 2 Jan 2013)
- CF1 Director (2 Jan 2013 to 8 Dec 2019)
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Kevin Joseph Mark Condon
IRN KJC01113
- CF1 Director (AR) (6 Jun 2013 to 1 Feb 2017)
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Louis George Eyles
IRN LXE00030
- [FCA CF] Functions requiring qualifications (2 Apr 2024 to 25 Jun 2025)
- Appointed representative dealing with clients for which they require qualification (2 Apr 2024 to 25 Jun 2025)
- [FCA CF] Client dealing (2 Apr 2024 to 25 Jun 2025)
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Michael Don Ellis
IRN MDE01067
- 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
- 11. Pension transfer specialist
- [FCA CF] Client dealing (since 9 Dec 2019)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 5 Aug 2019)
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Phillip Noel Risbridger
IRN PXR00108
- [FCA CF] Client dealing (23 Oct 2023 to 29 Feb 2024)
- Appointed representative dealing with clients for which they require qualification (23 Oct 2023 to 29 Feb 2024)
- [FCA CF] Functions requiring qualifications (23 Oct 2023 to 29 Feb 2024)
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Richard Andrew Hannis
IRN RAH00044
- CF30 Customer (28 Feb 2013 to 9 Nov 2020)
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Tanith Cheetham
IRN TXC00325
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 21 Jan 2026)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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3DIFS Ltd
FRN 457891 · Appointed 25 Feb 2013
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CGI Life & Pensions Ltd (no longer appointed)
FRN 617107 · Appointed 12 Mar 2014 · Until 17 Apr 2019
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3 D Employee Benefits Ltd (no longer appointed)
FRN 490733 · Appointed 25 Feb 2013 · Until 16 Apr 2019
Recent activity
Updates to this firm's record on the FCA register.
No changes recorded yet.