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.

  • Shelley Pautz

    IRN SXP00948

    • [FCA CF] Client dealing (12 Jun 2024 to 8 Jan 2026)
  • Sheridan Brooke Lees

    IRN SBL01026

    • CF1 Director (21 May 2014 to 4 Feb 2016)
    • CF29 Significant management (21 May 2014 to 4 Feb 2016)
  • Sherry Simmonds

    IRN SXK01305

    • [FCA CF] Client dealing (9 Dec 2019 to 21 Jun 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Jun 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (27 Jul 2007 to 31 Oct 2007)
  • Sidney Swayne

    IRN SXS05336

    • [FCA CF] Client dealing (9 Jul 2024 to 12 Jan 2026)
  • Simon Douglas Gill

    IRN SDG01036

    • [FCA CF] Manager of certification employee (2 Sep 2021 to 23 Jul 2023)
  • Simon Howard Michael Maynard

    IRN SHM01027

    • [FCA CF] Material risk taker (20 Aug 2025 to 17 Sep 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 17 Sep 2025)
  • Simon John David Learmouth Gray

    IRN SJG01173

    • CF1 Director (1 Dec 2001 to 6 Jun 2003)
  • Simon John Mabey

    IRN SJM01252

    • CF1 Director (1 Dec 2001 to 31 Aug 2006)
  • Simon Peter Clark

    IRN SPC00004

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 30 Jun 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2005)
  • Simon Peterman

    IRN SXP01956

    • CF30 Customer (4 Aug 2018 to 29 Mar 2019)

Recent activity

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

No changes recorded yet.