Date authorised
1 April 2013
Companies House
OC353198
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The St Botolph Building
    138 Houndsditch
    London
    EC3A 7AG
    UNITED KINGDOM
    Phone
    +4402079330000
  • Complaints Contact

    The St Botoloph Building
    138 Houndsditch
    London
    EC3A 7AG
    UNITED KINGDOM
    Phone
    +4401212324515

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

  • Insurance Admin

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

  • Credit Brokering

  • Stockbroking

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

  • Investment Setup

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

Approved individuals

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

  • Karen Elizabeth Allard

    IRN KXA00115

    • [FCA CF] Significant management (since 31 Mar 2021)
  • Katherine Chilvers

    IRN KXC00389

    • [FCA CF] Significant management (since 12 Mar 2024)
  • Katie Heiden

    IRN KXH00511

    • [FCA CF] Significant management (since 21 Jan 2025)
  • Keith Andrew Harrison

    IRN KAH01086

    • SMF18 Other Overall Responsibility (31 Mar 2020 to 1 May 2020)
  • Kevin Charles Harte

    IRN KCH01024

    • [FCA CF] Significant management (since 31 Mar 2021)
    • [FCA CF] Manager of certification employee (31 Mar 2021 to 30 Jun 2022)
    • SMF27 Partner (9 Dec 2019 to 31 Mar 2022)
    • CF4 Partner (4 Apr 2013 to 8 Dec 2019)
  • Kevin Ferguson

    IRN KXF00222

    • [FCA CF] Significant management (since 1 May 2025)
  • Kevin John Culliney

    IRN KJC01093

    • [FCA CF] Manager of certification employee (31 Mar 2021 to 31 Mar 2022)
    • [FCA CF] Significant management (31 Mar 2021 to 31 Jan 2026)
    • SMF27 Partner (9 Dec 2019 to 31 Mar 2022)
    • CF4 Partner (18 Jan 2011 to 8 Dec 2019)
  • Kevin Joseph Briley

    IRN KXB00218

    • [FCA CF] Significant management (31 Mar 2021 to 1 Aug 2025)
  • Kevin Stout

    IRN KXS00448

    • [FCA CF] Significant management (since 17 May 2022)
  • Kieran Brian McHugh

    IRN KBM01040

    • CF4 Partner (3 Feb 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.