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.

  • Mark Andrew Flaskett

    IRN MAF01133

    • CF30 Customer (12 May 2015 to 3 Nov 2017)
  • Mark Andrew Gregory Richardson

    IRN MAR00036

    • CF21 Investment Adviser (27 Jan 2003 to 3 May 2005)
    • CF22 Investment Adviser (Trainee) (29 Oct 2002 to 27 Jan 2003)
  • Mark James Morris

    IRN MJM01299

    • CF30 Customer (1 Nov 2007 to 16 May 2014)
    • CF21 Investment Adviser (20 Jan 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Sep 2002 to 20 Jan 2004)
  • Mark Jason Wilkins

    IRN MJW00159

    • [FCA CF] Manager of certification employee (7 Mar 2024 to 1 Apr 2026)
  • Mark John Prior

    IRN MJP01425

    • SMF18 Other Overall Responsibility (9 Dec 2019 to 1 Dec 2020)
    • CF29 Significant management (3 Oct 2019 to 8 Dec 2019)
  • Mark Kitching

    IRN MXK00679

    • [FCA CF] Client dealing (21 Jun 2023 to 1 Apr 2026)
  • Mark Nigel Garnett

    IRN MNG00005

    • CF30 Customer (1 Nov 2007 to 31 Mar 2016)
    • CF21 Investment Adviser (28 Oct 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Sep 2002 to 28 Oct 2002)
  • Mark Peter Jewers

    IRN MXJ01167

    • CF15 Internal Audit (1 Dec 2001 to 14 Jan 2005)
  • Mark Robert Stone

    IRN MRS00053

    • [FCA CF] Manager of certification employee (11 Sep 2024 to 1 Apr 2026)
  • Mark Willis

    IRN MPW01074

    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Oct 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 17 Aug 2022)

Recent activity

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

No changes recorded yet.