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)
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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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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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John C. Jessop
IRN JXJ01118
- (3036)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
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John Charles Quigley
IRN JCQ01003
- (1402)CF21 Investment Adviser (1 Dec 2001 to 15 Mar 2005)
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John Christopher Oei
IRN JCO01017
- (260)CF21 Investment Adviser (1 Dec 2001 to 26 Feb 2002)
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John David Meakin
IRN JDM01101
- (3279)[FCA CF] Material risk taker (3 Dec 2019 to 1 Dec 2021)
- (3280)[FCA CF] Manager of certification employee (7 Mar 2016 to 1 Dec 2021)
- (3278)[FCA CF] Client dealing (7 Mar 2016 to 1 Dec 2021)
- (3277)CF30 Customer (19 Jul 2011 to 6 Mar 2016)
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John David Quarmby
IRN JDQ01003
- (1242)CF21 Investment Adviser (1 Dec 2001 to 10 Feb 2003)
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John Edward Dalton
IRN JED01054
- (1434)CF21 Investment Adviser (1 Dec 2001 to 26 Feb 2002)
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John Edward Lynch
IRN JEL01138
- (1566)[FCA CF] Client dealing (6 Jun 2019 to 20 Mar 2020)
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John Empson
IRN JHE01009
- (2682)CF30 Customer (1 Nov 2007 to 25 Jun 2008)
- (2683)CF21 Investment Adviser (24 Jan 2007 to 31 Oct 2007)
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John Gavin MacPherson
IRN JGM01061
- (1342)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
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John Gibbons
IRN JMG01210
- (4021)CF29 Significant management (6 Jan 2012 to 6 Mar 2016)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (3958)CF29 Significant management
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controlled function added: (3957)CF29 Significant management
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controlled function added: (3956)CF1 Director
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controlled function added: (3955)CF16 Significant Mgt (Desgntd Investment Business)
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controlled function added: (3954)CF21 Investment Adviser
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controlled function added: (3953)CF29 Significant management
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controlled function added: (3952)CF30 Customer
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controlled function added: (3951)SMF4 Chief Risk
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controlled function added: (3950)CF21 Investment Adviser
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controlled function added: (3949)CF21 Investment Adviser