Date authorised
1 April 2013
Companies House
03749749
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Tythe Barn
    5 Eglwys Nunydd
    Margam
    Neath Port Talbot
    SA13 2PS
    UNITED KINGDOM
    Phone
    +4401639860111
  • Complaints Contact

    The Tythe Barn
    5 Eglwys Nunnydd
    Margam
    Neath Port Talbot
    SA13 2PS
    UNITED KINGDOM
    Phone
    +4401639860111

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Equity Release Advice

    For Customer, Home reversion plans

  • Investment Advice (no pensions)

    For Commercial, Professional, 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, 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.
  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Equity Release Arranging

    For Customer, Home reversion plans

  • Arranges Investments

    For Commercial, Professional, 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, 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.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

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

  • Stockbroking

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

  • Equity Release Setup

    For Customer, Home reversion plans

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, 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, 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.

  • Stefan Matej Smrtnik

    IRN SMS00025

    • CF21 Investment Adviser (27 Apr 2004 to 29 Dec 2004)
  • Stephen Charles Evans Harries

    IRN SCH00020

    • CF30 Customer (1 Nov 2007 to 28 Mar 2013)
    • CF10 Compliance Oversight (14 Feb 2007 to 11 Dec 2013)
    • Responsible for Insurance Mediation (14 Jan 2005 to 11 Dec 2013)
    • CF8 Apportionment and Oversight (10 Mar 2004 to 30 Apr 2007)
    • CF1 Director (21 Nov 2002 to 11 Dec 2013)
    • CF21 Investment Adviser (21 Nov 2002 to 31 Oct 2007)
  • Stephen John Williams

    IRN SXW00050

    • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
    • CF21 Investment Adviser (31 Oct 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.