Date authorised
1 April 2013
Companies House
OC309046
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Barnham Broom
    Honingham Road
    Barnham Broom
    Norwich
    Norfolk
    NR9 4DD
    UNITED KINGDOM
    Phone
    +4401603757523
  • Complaints Contact

    Barnham Broom Hotel & Country Club
    Honingham Road
    Barnham Broom
    Norwich
    Norfolk
    NR9 4DD
    UNITED KINGDOM
    Phone
    +4401603757519

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Authorised to Operate

    For Eligible Counterparty, Professional

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

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Edward Thomas Rudd

    IRN ETR01005

    • CF30 Customer (1 Nov 2007 to 1 Nov 2011)
    • CF23 Corporate Finance Adviser (24 Feb 2005 to 31 Oct 2007)
    • CF4 Partner (22 Nov 2004 to 29 Jul 2013)
    • CF27 Investment Management (22 Nov 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (22 Nov 2004 to 31 Oct 2007)
    • CF13 Finance (22 Nov 2004 to 29 Aug 2007)
  • Felicity Ruth Lyons

    IRN FRL01012

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (21 Nov 2007 to 8 Dec 2019)
  • Jonathan James de Winton Kitcat

    IRN JJK01017

    • CF4 Partner (22 Nov 2004 to 30 Jun 2005)
  • Julian Edward John Hickman

    IRN JEH01124

    • CF11 Money Laundering Reporting (5 Nov 2009 to 1 Nov 2011)
    • CF30 Customer (1 Nov 2007 to 1 Nov 2011)
    • CF27 Investment Management (9 Dec 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (9 Dec 2005 to 31 Oct 2007)
    • CF4 Partner (9 Dec 2005 to 29 Jul 2013)
  • Keith Adrian Powell

    IRN KAP01071

    • CF30 Customer (3 Jan 2012 to 14 Apr 2014)
    • CF4 Partner (21 Sep 2007 to 27 May 2014)
  • Kevin Michael Doyle

    IRN KMD01041

    • CF4 Partner (22 Nov 2004 to 29 Jul 2013)
  • Nicholas Stephen Leland Lyons

    IRN NSL01010

    • CF27 Investment Management (17 Nov 2006 to 17 Oct 2007)
    • CF4 Partner (6 Sep 2005 to 17 Oct 2007)
  • Robert William Finlayson

    IRN RWF01036

    • CF10 Compliance Oversight (11 Jul 2008 to 1 Nov 2011)
    • CF30 Customer (1 Nov 2007 to 1 Nov 2011)
    • CF28 Systems and controls (1 Nov 2007 to 1 Nov 2011)
    • CF13 Finance (6 Sep 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (24 Feb 2005 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (24 Feb 2005 to 31 Oct 2007)
    • CF4 Partner (22 Nov 2004 to 29 Jul 2013)
    • CF27 Investment Management (22 Nov 2004 to 31 Oct 2007)
  • Ronald Petersen

    IRN RXP01445

    • [FCA CF] Client dealing (since 30 Mar 2021)
    • [FCA CF] Significant management (since 30 Mar 2021)
    • [PRA CF] Key function holder (since 30 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (10 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (22 Nov 2004 to 8 Dec 2019)
  • THOMAS EDWARD BECKETT

    IRN TEB01017

    • [FCA CF] Client dealing (since 30 Mar 2021)
    • [PRA CF] Key function holder (since 30 Mar 2021)
    • [FCA CF] Significant management (since 30 Mar 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (29 Aug 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (29 Aug 2018 to 8 Dec 2019)
    • CF28 Systems and controls (29 Nov 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (24 Feb 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (22 Nov 2004 to 29 Aug 2007)
    • CF10 Compliance Oversight (22 Nov 2004 to 21 Nov 2007)
    • CF21 Investment Adviser (22 Nov 2004 to 31 Oct 2007)
    • CF27 Investment Management (22 Nov 2004 to 31 Oct 2007)
    • CF3 Chief Executive (22 Nov 2004 to 8 Dec 2019)
    • CF4 Partner (22 Nov 2004 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.