Date authorised
1 April 2013
Companies House
OC357140
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Grassroots
    46 Woodstock Road
    Oxford
    Oxfordshire
    OX2 6HT
    UNITED KINGDOM
    Phone
    +4402037553225
  • Complaints Contact

    Grassroots
    46 Woodstock Road
    Oxford
    Oxfordshire
    OX2 6HT
    UNITED KINGDOM
    Phone
    +447768124829

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 Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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, 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 Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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, 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 Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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, 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.

  • Alexander Dominic Spain

    IRN ADS01077

    • CF30 Customer (18 Aug 2014 to 22 Apr 2016)
  • Cornel Carl Riklin

    IRN CCR01031

    • CF30 Customer (18 Aug 2014 to 22 Apr 2016)
  • David Christopher Armfield

    IRN DCA01022

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF10 Compliance Oversight (18 Aug 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Aug 2011 to 8 Dec 2019)
    • CF4 Partner (18 Aug 2011 to 8 Dec 2019)
    • CF30 Customer (18 Aug 2011 to 8 Dec 2019)
  • Raymond Alexander Holden Barrett

    IRN RAB01231

    • SMF27 Partner (since 14 Feb 2022)
  • Robert Angus Buchanan McGrigor

    IRN RAM01253

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (18 Aug 2011 to 8 Dec 2019)
    • CF30 Customer (18 Aug 2011 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.