Lockton Companies LLP

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Addresses

The contact details this firm has registered with the FCA.

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
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- · 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

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

William Taylor
IRN WXT01152
- CF1 Director (AR) (14 Aug 2017 to 28 Aug 2018)
William Warren Humphrey III
IRN WWH01012
- SMF7 Group Entity Senior Manager (9 Dec 2019 to 1 May 2020)
- CF2 Non Executive Director (1 May 2016 to 8 Dec 2019)
Zoe Deeks
IRN ZXD00021
- [FCA CF] Significant management (30 Mar 2023 to 26 Apr 2023)

Smaller firms operating under this firm's FCA authorisation.

Homeground Management Ltd (no longer appointed)
FRN 621900 · Appointed 28 Aug 2019 · Until 15 Mar 2024
Orbital Witness Limited (no longer appointed)
FRN 911662 · Appointed 26 Jul 2019 · Until 20 Jun 2023
Lee Baron Ltd (no longer appointed)
FRN 845934 · Appointed 16 Jul 2019 · Until 1 Jun 2023
MOUNTAIN TRAINING UNITED KINGDOM & IRELAND LTD (no longer appointed)
FRN 828931 · Appointed 18 Dec 2018 · Until 17 Sep 2021
Sysnet Global Solutions (UK) Ltd (no longer appointed)
FRN 533099 · Appointed 1 Dec 2018 · Until 20 Feb 2023
Jeremy Donald Stephen (no longer appointed)
FRN 824351 · Appointed 29 Oct 2018 · Until 23 Dec 2021
JJ & JE Powell Partnership (no longer appointed)
FRN 824291 · Appointed 26 Oct 2018 · Until 23 Dec 2021
Russell Martin (no longer appointed)
FRN 823960 · Appointed 23 Oct 2018 · Until 17 Sep 2021
Northwick Consulting Ltd (no longer appointed)
FRN 813398 · Appointed 10 Jul 2018 · Until 30 Jul 2021
Robert George Ellice (no longer appointed)
FRN 806398 · Appointed 12 Apr 2018 · Until 28 Jan 2022

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.