Date authorised
1 April 2013
Companies House
OC331235
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    45 Whitfield Street
    London
    W1T 4HD
    UNITED KINGDOM
    Phone
    +4401223345616
  • Complaints Contact

    45 Whitfield Street
    London
    W1T 4HD
    UNITED KINGDOM
    Phone
    +4401223345616

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.
  • Authorised to Operate

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

    For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.
  • Arranges Asset Safekeeping

    For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.
  • Stockbroking

    For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.
  • Investment Setup

    For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.

Approved individuals

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

  • Edward Paul Stacey

    IRN EPS01009

    • [FCA CF] Client dealing (since 27 Jul 2022)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (3 Oct 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Oct 2007 to 31 Mar 2009)
    • CF27 Investment Management (3 Oct 2007 to 31 Oct 2007)
  • Francois Jean-Claude Rene Mazoudier

    IRN FJM01084

    • CF1 Director (AR) (28 Aug 2014 to 2 Dec 2015)
  • Kerry Baldwin

    IRN KXB01504

    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Oct 2007 to 8 Dec 2019)
    • CF27 Investment Management (3 Oct 2007 to 31 Oct 2007)
    • CF4 Partner (3 Oct 2007 to 8 Dec 2019)
  • Maxim Bautin

    IRN MSB01086

    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2007 to 20 Feb 2017)
    • CF27 Investment Management (3 Oct 2007 to 31 Oct 2007)
    • CF4 Partner (3 Oct 2007 to 8 Dec 2019)
  • Nigel Wooldridge Brown

    IRN NWB01019

    • CF4 Partner (3 Oct 2007 to 20 Jan 2014)
  • Philip Ernest Randerson

    IRN PER01056

    • CF1 Director (AR) (28 Aug 2014 to 2 Dec 2015)
  • Simon George Michael Hirtzel

    IRN SXH00596

    • SMF16 Compliance Oversight (since 24 Oct 2022)
    • [FCA CF] Client dealing (since 9 Dec 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2021)
    • SMF27 Partner (since 9 Dec 2021)
  • Timothy Andrew Sharman

    IRN TAS01069

    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Jan 2022)
    • CF10 Compliance Oversight (13 Mar 2017 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.