Date authorised
4 March 2014
Companies House
08577967
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    34
    Lime Street
    London
    EC3M 7AT
    UNITED KINGDOM
    Phone
    +447821624600
  • Complaints Contact

    34
    Lime Street
    London
    EC3M 7AT
    UNITED KINGDOM
    Phone
    +447821624600

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial

  • Investment Advice (no pensions)

    For Commercial, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Non-investment insurance contracts

  • Authorised to Operate

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

    For Commercial, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Non-investment insurance contracts

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Stockbroking

    For Commercial, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Non-investment insurance contracts

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Non-investment insurance contracts

Approved individuals

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

  • David William Harry

    IRN DWH01129

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (21 Apr 2015 to 8 Dec 2019)
  • Matthew Jon Kiln Chappell

    IRN MXC00190

    • SMF3 Executive Director (since 18 Mar 2021)
  • Paul Robert Rogers

    IRN PRR00023

    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (4 Mar 2014 to 30 Sep 2018)
    • CF1 Director (4 Mar 2014 to 8 Dec 2019)
  • William John Blumsom

    IRN WJB01103

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (21 Apr 2015 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.