Date authorised
19 September 2019
Companies House
09194858
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 King William Street
    London
    EC4N 7AF
    UNITED KINGDOM
    Phone
    +442038908211
  • Complaints Contact

    1 King William Street
    London
    EC4N 7AF
    UNITED KINGDOM
    Phone
    +447886027600

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Pension Transfer Advice

    For Professional, 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

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Share, Stakeholder pension scheme, Structured Deposits, Unit

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    For Commercial, Retail (Non-Investment Insurance)

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Share, Stakeholder pension scheme, Structured Deposits, Unit

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity.
  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Share, Stakeholder pension scheme, Structured Deposits, Unit

Approved individuals

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

  • Lisa Caroline Hughes

    IRN LXH00430

    • [FCA CF] Client dealing (26 Jan 2023 to 7 May 2025)
    • [FCA CF] Functions requiring qualifications (26 Jan 2023 to 7 May 2025)
  • Michael Erik Loveland Lawrence

    IRN MEL01035

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF1 Director (AR) (since 7 Aug 2025)
    • Responsible for Insurance Distribution (since 5 Nov 2024)
    • SMF16 Compliance Oversight (since 30 Oct 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Oct 2024)
    • Responsibility for MCD Intermediation (since 12 Feb 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 19 Sep 2019)
    • CF1 Director (19 Sep 2019 to 8 Dec 2019)
  • Neil Stuart Alsop

    IRN NSA00004

    • [FCA CF] Functions requiring qualifications (1 Feb 2024 to 10 Jan 2025)
    • [FCA CF] Client dealing (1 Feb 2024 to 10 Jan 2025)
  • Nick Evans

    IRN NXE58155

    • CF30 Customer (since 22 Mar 2026)
  • Samuel Martin

    IRN SXM04431

    • CF30 Customer (7 May 2024 to 3 Jan 2025)
    • [FCA CF] Functions requiring qualifications (7 Mar 2024 to 2 Jan 2025)
    • [FCA CF] Client dealing (7 Mar 2024 to 2 Jan 2025)
  • Sarah Rice

    IRN SXR15714

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (19 Sep 2019 to 8 Dec 2019)
  • Spencer Danial Gregory Sutherland

    IRN SXS01014

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF30 Customer (since 9 Aug 2022)
    • [FCA CF] Functions requiring qualifications (since 5 Jul 2022)
    • [FCA CF] Client dealing (since 5 Jul 2022)
  • Stephen Lishman

    IRN SXL00009

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF30 Customer (since 25 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 28 Aug 2020)
    • [FCA CF] Client dealing (since 28 Aug 2020)
  • Turon Miah

    IRN TXM00216

    • Appointed representative dealing with clients for which they require qualification (13 Nov 2024 to 12 Oct 2025)
    • [FCA CF] Client dealing (9 Jun 2022 to 12 Oct 2025)
    • [FCA CF] Functions requiring qualifications (9 Jun 2022 to 12 Oct 2025)
  • Tyrone Douglas Peters

    IRN TDP00006

    • [FCA CF] Client dealing (6 Mar 2024 to 10 Jan 2025)
    • [FCA CF] Functions requiring qualifications (6 Mar 2024 to 10 Jan 2025)

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.