Date authorised
20 December 2017
Companies House
10893119
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Tower Place West
    Tower Place
    London
    City of London
    EC3R 5BU
    UNITED KINGDOM
    Phone
    +441737233979
  • Complaints Contact

    1 Tower Place West
    Tower Place
    London
    City of London
    EC3R 5BU
    UNITED KINGDOM
    Phone
    +441737233979

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, Alternative Debenture, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Alternative Debenture, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Alternative Debenture, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

  • Andrew James Macfarlane

    IRN AJM01794

    • SMF1 Chief Executive (9 Dec 2019 to 31 May 2020)
    • CF3 Chief Executive (20 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (20 Dec 2017 to 8 Dec 2019)
    • CF29 Significant management (20 Dec 2017 to 8 Dec 2019)
  • Christopher Michael Edward Proudfoot

    IRN CXP00291

    • [FCA CF] Client dealing (since 1 Jan 2021)
  • George Anthony O'Dwyer

    IRN GAO01021

    • SMF3 Executive Director (since 29 Dec 2025)
  • Ian Audley Jones

    IRN IAJ01022

    • SMF9 Chair of the Governing Body (15 Jul 2020 to 2 Oct 2025)
  • Julia Rosa Ricarda Drell

    IRN JRD01171

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Jul 2025)
    • SMF16 Compliance Oversight (since 28 Jul 2025)
  • Nadeema Levy

    IRN NXL81122

    • SMF16 Compliance Oversight (15 Jul 2020 to 30 Jun 2021)
  • Peter Charles Foster

    IRN PXF00134

    • Director of firm who is not a certification employee or a SMF manager (15 Jul 2020 to 1 Oct 2025)
  • Rory Stewart Maguire

    IRN RXM02595

    • [FCA CF] Material risk taker (since 1 Jun 2021)
    • SMF1 Chief Executive (since 15 Jul 2020)
    • [FCA CF] Manager of certification employee (since 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (6 Sep 2021 to 25 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Sep 2025)
    • CF1 Director (20 Dec 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Dec 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (20 Dec 2017 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.