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.

Garry Simmons
IRN GXS00571
- [FCA CF] Significant management (since 30 Mar 2023)
Gary Ennis
IRN GXE01166
- 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 (8 Dec 2010 to 8 Dec 2019)
Gary William Doran
IRN GWD01048
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (1 May 2017 to 8 Dec 2019)
Gavin Horner
IRN GXH00292
- [FCA CF] Significant management (31 Mar 2022 to 31 Jul 2022)
George Herbert Carrington
IRN GXC01176
- CF29 Significant management (19 Aug 2013 to 8 Dec 2019)
- CF4 Partner (10 Apr 2013 to 8 Dec 2019)
Georgina Catherine Leelodharry
IRN GCL01033
- CF5 Director of Unincorporated Association (AR) (15 Feb 2016 to 8 Jul 2016)
Geraldine Anne Rosemary Morgan
IRN GXM00258
- [FCA CF] Significant management (since 31 Mar 2021)
Glenn Feldman
IRN GXF54196
- [FCA CF] Manager of certification employee (since 10 Oct 2022)
- [FCA CF] Significant management (since 10 Oct 2022)
Glenn Morrison
IRN GXM01468
- SMF4 Chief Risk (since 17 Jun 2021)
- [FCA CF] Significant management (31 Mar 2021 to 31 Mar 2022)
Glenn Poynter
IRN GXP23225
- [FCA CF] CASS oversight function (31 Mar 2021 to 1 Nov 2021)
- SMF18 Other Overall Responsibility (25 Feb 2020 to 5 Aug 2021)

Smaller firms operating under this firm's FCA authorisation.

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.