Date authorised
1 April 2013
Companies House
04373630
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Wyndham Lewis Trust, 5-7 Museum Place
    Cardiff
    Cardiff
    CF10 3BD
    UNITED KINGDOM
    Phone
    +4402920196546
  • Complaints Contact

    The Wyndham Lewis Trust, 5-7 Museum Place
    Cardiff
    Cardiff
    CF10 3BD
    UNITED KINGDOM
    Phone
    +4402920196546

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.

  • Alex Collett

    IRN AXC01785

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (14 Jan 2005 to 8 Dec 2019)
    • CF3 Chief Executive (14 Jan 2005 to 8 Dec 2019)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
  • Edward Collett

    IRN EXC01221

    • CF2 Non Executive Director (21 Jul 2005 to 2 Apr 2009)
  • Sarah Margaret Collett

    IRN SMC01208

    • CF2 Non Executive Director (15 Jan 2008 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Daniel Bailey (no longer appointed)

    FRN 574011 · Appointed 31 Jan 2012 · Until 13 Dec 2022

Recent activity

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

No changes recorded yet.