Date authorised
1 April 2013
Companies House
03133226
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2 London Wall Place
    London
    City Of London
    EC2Y 5AU
    UNITED KINGDOM
    Phone
    +443456462373
  • Complaints Contact

    Ageas House
    The Square
    Gloucester Business Park
    Gloucester
    Gloucestershire
    GL3 4FA
    UNITED KINGDOM
    Phone
    +441242537030

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)

  • 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
    • · 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.
  • 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.
  • Authorised to Operate

  • 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.
  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.
  • Insurance Admin

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

  • Credit Brokering

  • Debt Advice

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

  • John Charles Duff Lowe

    IRN JCL00008

    • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • John Christopher Appleton

    IRN JCA01030

    • CF15 Internal Audit (1 Dec 2001 to 1 Jan 2005)
  • John Davies

    IRN JFD01054

    • [FCA CF] Manager of certification employee (21 Jun 2024 to 1 Apr 2026)
  • John Erskine

    IRN JXE01090

    • [FCA CF] Manager of certification employee (10 Mar 2023 to 24 Oct 2024)
    • [FCA CF] Material risk taker (1 Jan 2021 to 30 Sep 2022)
    • [FCA CF] Significant management (1 Jan 2021 to 30 Sep 2022)
    • SMF18 Other Overall Responsibility (9 Dec 2019 to 30 Dec 2020)
    • CF29 Significant management (13 Dec 2018 to 8 Dec 2019)
  • John Henry Harley

    IRN JXH01541

    • CF2 Non Executive Director (24 May 2016 to 19 Sep 2018)
  • John Lawrence O'Sullivan

    IRN JLO00001

    • CF30 Customer (9 Oct 2012 to 13 Sep 2013)
  • John Montgomerie Lang

    IRN JML01071

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 28 Mar 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)
  • John Rugman

    IRN JXR00283

    • [FCA CF] Significant management (16 Sep 2020 to 5 Sep 2023)
  • Jonathan Burch

    IRN JXB00991

    • [FCA CF] Client dealing (30 May 2023 to 1 Apr 2026)
    • [FCA CF] Manager of certification employee (15 Feb 2022 to 1 Apr 2026)
  • Jonathan Dark

    IRN JXD02448

    • [FCA CF] Material risk taker (20 Aug 2025 to 1 Apr 2026)
    • [FCA CF] Significant management (16 Sep 2020 to 1 Apr 2026)

Recent activity

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

No changes recorded yet.