Date authorised
1 April 2013
Companies House
OC340854
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Smithson Plaza
    St James's Street
    London
    SW1A 1HA
    UNITED KINGDOM
    Phone
    +4402070249800
  • Complaints Contact

    Smithson Plaza
    St James's Street
    London
    SW1A 1HA
    UNITED KINGDOM
    Phone
    +4402070249800

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, 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), 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, 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), 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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, 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), 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.
  • Runs Investment Funds

  • 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, 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), 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For 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), 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.
  • Holds Your Assets

    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), 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.

  • Heidi Victoria Farley

    IRN HXF08578

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Nov 2018 to 8 Dec 2019)
  • James Adrian Craig

    IRN JXC01122

    • [FCA CF] Client dealing (since 2 Jun 2025)
  • James Anthony Salter

    IRN JAS01557

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 Nov 2017 to 8 Dec 2019)
  • James Kieran Handley

    IRN JKH01084

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 Nov 2017 to 8 Dec 2019)
  • James William Henry Sellars

    IRN JWS01151

    • CF30 Customer (8 Apr 2016 to 3 Sep 2018)
  • John Marsh

    IRN JXM03239

    • SMF27 Partner (since 29 Jul 2025)
    • [FCA CF] Client dealing (since 24 Feb 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF28 Systems and controls (20 Nov 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Nov 2017 to 8 Dec 2019)
    • CF10a CASS Oversight function (20 Nov 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Nov 2017 to 8 Dec 2019)
  • Joseph Kennedy

    IRN JXK00462

    • [FCA CF] Client dealing (since 1 Aug 2022)
  • Kirsty McDonald

    IRN KXM01835

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (25 May 2016 to 8 Dec 2019)
    • CF30 Customer (21 Mar 2012 to 8 Dec 2019)
  • Liam John Bennett

    IRN LXB14586

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (8 May 2019 to 8 Dec 2019)
  • Michael Gray

    IRN MXG00217

    • [FCA CF] Client dealing (1 Mar 2021 to 8 Dec 2025)

Recent activity

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

No changes recorded yet.