Date authorised
1 April 2013
Companies House
06365953
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Exchange 5 Bank St
    Bury
    Lancs
    BL9 0DN
    UNITED KINGDOM
    Phone
    +4401617637070

What this firm is allowed to do

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

  • Authorised to Operate

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

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Trades With You Directly

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Runs Personal Pensions

  • Investment Setup

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • David Robert Southworth

    IRN DRS01170

    • CF2 Non Executive Director (15 Nov 2016 to 8 Dec 2019)
  • Ian William Currie

    IRN IWC01006

    • CF2 Non Executive Director (5 Nov 2010 to 8 Dec 2019)
  • John Damien Fox

    IRN JDF01096

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (6 Feb 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Feb 2008 to 8 Dec 2019)
    • CF1 Director (6 Feb 2008 to 8 Dec 2019)
  • Julie Ann Dean

    IRN JAD01247

    • SMF3 Executive Director (9 Dec 2019 to 9 Jan 2020)
    • CF1 Director (1 Apr 2010 to 8 Dec 2019)
  • Matthew James Rankine

    IRN MJR01466

    • SMF3 Executive Director (9 Dec 2019 to 9 Jan 2020)
    • CF1 Director (23 Jun 2016 to 8 Dec 2019)
  • Michael Taylor

    IRN MXT01864

    • CF2 Non Executive Director (15 Mar 2013 to 8 Dec 2019)
  • Ronald Alexander McDonald

    IRN RAM01215

    • CF8 Apportionment and Oversight (6 Feb 2008 to 31 Mar 2009)
    • CF1 Director (6 Feb 2008 to 30 Sep 2011)

Recent activity

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

No changes recorded yet.