Date authorised
1 April 2013
Companies House
OC305359
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    11 Waterloo Place
    London
    SW1Y 4AU
    UNITED KINGDOM
    Phone
    +4402076591906
  • Complaints Contact

    11 Waterloo Place
    London
    SW1Y 4AU
    UNITED KINGDOM

What this firm is allowed to do

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

  • 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, Commodity Future, Commodity option and option on commodity future, 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, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

  • Janik Jules Jacques Janssens

    IRN JJJ01038

    • SMF27 Partner (since 1 Feb 2026)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (18 May 2017 to 8 Dec 2019)
  • Jared Sholly

    IRN JXS03635

    • CF30 Customer (9 Sep 2016 to 31 Jul 2018)
  • Jeremy Louis Klaperman

    IRN JLK01062

    • CF30 Customer (22 Jun 2012 to 31 Dec 2015)
    • CF4 Partner (22 Jun 2012 to 31 Dec 2015)
  • Joao Pinto de Freitas

    IRN JXP01702

    • [FCA CF] Client dealing (29 Jul 2020 to 31 Dec 2021)
    • SMF27 Partner (9 Dec 2019 to 31 Dec 2021)
    • CF4 Partner (28 Feb 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (20 Aug 2007 to 31 Oct 2007)
  • Joe James Harwood

    IRN JJH01164

    • CF30 Customer (3 Feb 2014 to 31 Jul 2015)
  • John Baker Gentry

    IRN JBG01025

    • CF11 Money Laundering Reporting (23 Aug 2004 to 31 Dec 2004)
    • CF10 Compliance Oversight (23 Aug 2004 to 31 Dec 2004)
    • CF27 Investment Management (28 Nov 2003 to 31 Dec 2004)
    • CF3 Chief Executive (28 Nov 2003 to 31 Dec 2004)
    • CF4 Partner (28 Nov 2003 to 31 Dec 2004)
    • CF8 Apportionment and Oversight (28 Nov 2003 to 31 Dec 2004)
    • CF21 Investment Adviser (28 Nov 2003 to 31 Dec 2004)
  • John Michael Adrian Power

    IRN JMP01210

    • [FCA CF] Client dealing (since 29 Jul 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (20 Apr 2016 to 8 Dec 2019)
    • CF4 Partner (20 Apr 2016 to 8 Dec 2019)
  • John Sherman Stamler

    IRN JSS01076

    • CF30 Customer (1 Nov 2007 to 5 Sep 2008)
    • CF4 Partner (11 Dec 2006 to 5 Sep 2008)
    • CF21 Investment Adviser (18 Oct 2006 to 31 Oct 2007)
    • CF27 Investment Management (18 Oct 2006 to 31 Oct 2007)
  • Jonathan Anthony Ingram

    IRN JAI01016

    • CF30 Customer (1 Nov 2007 to 30 Apr 2013)
    • CF4 Partner (10 Mar 2005 to 30 Apr 2013)
    • CF27 Investment Management (12 Aug 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (12 Aug 2004 to 31 Oct 2007)
  • Jonathan Neill Brown

    IRN JNB01048

    • SMF1 Chief Executive (since 2 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Feb 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2007 to 8 Dec 2019)
    • CF4 Partner (10 Mar 2005 to 8 Dec 2019)
    • CF27 Investment Management (28 Nov 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (28 Nov 2003 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.