Lockton Companies LLP

• Principal Place of Business

  The St Botolph Building

  138 Houndsditch

  London

  EC3A 7AG

  UNITED KINGDOM

  Phone

  +4402079330000

  Web

  https://global.lockton.com/gb/en

• Complaints Contact

  The St Botoloph Building

  138 Houndsditch

  London

  EC3A 7AG

  UNITED KINGDOM

  Phone

  +4401212324515

• Investment Advice (no pensions)

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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

• Russell Gerard Winter

  IRN RGW01105

  • [FCA CF] Significant management (31 Mar 2021 to 31 Jul 2024)
  • SMF27 Partner (9 Dec 2019 to 31 Mar 2022)
  • CF4 Partner (4 Jan 2011 to 8 Dec 2019)
• Ruth Welch

  IRN RXW00477

  • [FCA CF] Significant management (since 30 Mar 2023)
• Samantha Louise Spicer

  IRN SXS25874

  • [FCA CF] Significant management (since 31 Mar 2021)
  • SMF18 Other Overall Responsibility (25 Mar 2020 to 31 Mar 2022)
• Samuel James Ellerton

  IRN SXE00199

  • [FCA CF] Significant management (since 31 Mar 2022)
  • [FCA CF] Manager of certification employee (since 31 Mar 2022)
• Samuel Thomas Budgen Clark

  IRN STC01050

  • SMF16 Compliance Oversight (since 6 Jun 2025)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (31 Mar 2021 to 31 Mar 2022)
  • [FCA CF] Significant management (31 Mar 2021 to 31 Mar 2022)
  • CF4 Partner (1 Jun 2014 to 8 Dec 2019)
  • CF29 Significant management (18 Nov 2013 to 8 Dec 2019)
• Sarah Jane Horler

  IRN SJH01577

  • [FCA CF] Manager of certification employee (31 Mar 2022 to 1 Apr 2022)
  • [FCA CF] Significant management (31 Mar 2021 to 30 Apr 2024)
  • SMF27 Partner (9 Dec 2019 to 31 Mar 2022)
  • CF4 Partner (19 May 2015 to 8 Dec 2019)
• Sarah Jane O'Reilly

  IRN SJO01103

  • CF5 Director of Unincorporated Association (AR) (1 Aug 2014 to 14 Feb 2016)
• Sarah Michelle Halldearn

  IRN SXH23316

  • [FCA CF] Significant management (since 31 Mar 2021)
  • SMF18 Other Overall Responsibility (14 Feb 2020 to 31 Mar 2022)
• Sharon Gras

  IRN SXM04480

  • [FCA CF] Significant management (since 9 May 2024)
• Shelley Louise Wright

  IRN SLW01134

  • [FCA CF] Significant management (10 Aug 2023 to 31 Oct 2025)

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• Jeremy Donald Stephen (no longer appointed)

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• Russell Martin (no longer appointed)

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• Robert George Ellice (no longer appointed)

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