Date authorised
1 April 2013
Companies House
03833783
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Units A - J
    Austen House
    Station View
    Guilford
    Surrey
    GU1 4AD
    UNITED KINGDOM
    Phone
    +4408001310123
  • Complaints Contact

    Units A - J
    Austen House
    Station Road
    Guilford
    Surrey
    GU1 4AD
    UNITED KINGDOM
    Phone
    +4408001310123

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, Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

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

  • Authorised to Operate

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

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

  • Insurance Admin

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

  • Stockbroking

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

  • Investment Setup

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

Approved individuals

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

  • Arthur Howard Goldberg

    IRN AHG01036

    • CF2 Non Executive Director (12 Jul 2012 to 16 Oct 2019)
  • Daniel James Barber

    IRN DXB25432

    • SMF16 Compliance Oversight (since 18 Mar 2020)
  • James Michael Keane

    IRN JMK01131

    • CF28 Systems and controls (10 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Mar 2012 to 1 Feb 2013)
  • Kim Rehfeld

    IRN KXR01187

    • CF29 Significant management (1 Nov 2007 to 8 Nov 2011)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF1 Director (14 Jan 2005 to 8 Nov 2011)
  • Neil Jarrold

    IRN NXJ25543

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Feb 2020)
    • [FCA CF] Significant management (since 9 Dec 2019)
  • Nick Egdell

    IRN NXE01064

    • CF28 Systems and controls (1 Nov 2007 to 30 Sep 2010)
    • CF29 Significant management (1 Nov 2007 to 30 Sep 2010)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2010)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF1 Director (AR) (14 Jan 2005 to 30 Sep 2010)
    • CF1 Director (14 Jan 2005 to 30 Sep 2010)
    • CF11 Money Laundering Reporting (14 Jan 2005 to 30 Sep 2010)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
  • Sean Gerard O'Keeffe

    IRN SGO01012

    • CF1 Director (AR) (since 13 Nov 2025)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF2 Non Executive Director (AR) (13 Nov 2025 to 13 Nov 2025)
    • CF28 Systems and controls (2 Apr 2013 to 15 Oct 2013)
    • Responsible for Insurance Mediation (2 Apr 2013 to 30 Sep 2018)
    • CF1 Director (13 Apr 2012 to 8 Dec 2019)

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.