Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
25 Bank StreetLondonE14 5JPUNITED KINGDOM- Phone
- +442034931949
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Complaints Contact
25 Bank Street-LondonE14 5JPUNITED KINGDOM- Phone
- +442034931949
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Bank Deposits
For All, Deposit
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Retail Fund Guardian
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Specialist Fund Guardian
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Private Fund Guardian
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P2P Lending Advice
For Professional, Eligible Counterparty
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Investment Advice (no pensions)
For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Arranges Asset Safekeeping
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
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- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
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Insurance Admin
For Retail (Non-Investment Insurance), Non-investment insurance contracts
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Trade Settlement Routing
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · 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.
- · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.
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Credit Brokering
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Stockbroking
For Retail (Non-Investment Insurance), Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · 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.
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Trades With You Directly
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Consumer Loans
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Loan Servicing
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Digital Money
For Retail (Investment), Professional, Eligible Counterparty, Issuing Electronic Money
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Investment Setup
For Retail (Non-Investment Insurance), Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · 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.
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Manages Your Portfolio
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · 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.
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Credit Score Services
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Holds Your Assets
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Commodity option and option on commodity future, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
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Electronic Trade Settlement
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · 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.
- · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
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Michael Edward John Phelps
IRN MEP01031
- (3829)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
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Michael Eriksen
IRN MXE01108
- (843)CF21 Investment Adviser (1 Dec 2001 to 15 Aug 2002)
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Michael Fanelli
IRN MXF00251
- (3754)[FCA CF] Client dealing (22 Jun 2021 to 4 Jul 2022)
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Michael Frank Wharrad
IRN MFW01028
- (1174)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
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Michael Frederick Betts
IRN MFB01029
- (1529)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
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Michael Furnival
IRN MRF01059
- (3142)CF30 Customer (11 Apr 2008 to 20 Sep 2010)
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Michael Gerald Roberts
IRN MGR01032
- (1202)CF21 Investment Adviser (1 Dec 2001 to 24 Nov 2003)
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Michael Gerard Whitehead
IRN MGW01089
- (1803)CF29 Significant management (1 Nov 2007 to 8 Nov 2011)
- (1804)CF16 Significant Mgt (Desgntd Investment Business) (8 Jun 2007 to 31 Oct 2007)
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Michael Geroux
IRN MXG01342
- (277)CF22 Investment Adviser (Trainee) (20 Feb 2002 to 30 Aug 2002)
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Michael Howard Ridley
IRN MHR01016
- (3999)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
- (4000)CF1 Director (1 Dec 2001 to 24 Feb 2005)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (1)[FCA CF] Material risk taker
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controlled function added: (4067)CF21 Investment Adviser
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controlled function added: (4066)CF23 Corporate Finance Adviser
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controlled function added: (4065)CF16 Significant Mgt (Desgntd Investment Business)
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controlled function added: (4064)CF27 Investment Management
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controlled function added: (4063)CF21 Investment Adviser
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controlled function added: (4062)CF21 Investment Adviser
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controlled function added: (4061)CF16 Significant Mgt (Desgntd Investment Business)
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controlled function added: (4060)CF29 Significant management
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controlled function added: (4059)CF21 Investment Adviser