Date authorised
1 April 2013
Companies House
OC352379
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    36 Upper Brook Street
    London
    W1K 7QJ
    UNITED KINGDOM
    Phone
    +4402075141814
  • Complaints Contact

    36 Upper Brook Street
    London
    W1K 7QJ
    UNITED KINGDOM
    Phone
    +442075141800

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), Government and public security, 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

    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), Government and public security, 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Government and public security, 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), Government and public security, 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), Government and public security, 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.

  • Andrew Chetwood

    IRN AXC02800

    • CF30 Customer (16 Mar 2015 to 8 Dec 2019)
  • Benjamin Russell Evans

    IRN BRE01012

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (6 Feb 2017 to 8 Dec 2019)
    • CF30 Customer (10 Jun 2013 to 8 Dec 2019)
  • David Gasparro

    IRN DXG01248

    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF4 Partner (1 Mar 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2011 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2011 to 8 Dec 2019)
  • Ellen Jordan

    IRN EXJ00186

    • [FCA CF] Client dealing (since 10 Nov 2025)
  • Isabella Roberts

    IRN IXR07306

    • CF30 Customer (18 Oct 2018 to 16 Jul 2019)
  • James Samuel Andrew Knott

    IRN JSK01078

    • CF30 Customer (4 Mar 2015 to 8 Dec 2019)
  • Keith Anthony Hoad

    IRN KAH01063

    • SMF27 Partner (since 28 Dec 2022)
  • Michael Lock

    IRN MXL02325

    • CF2 Non Executive Director (1 Jun 2017 to 19 Apr 2018)
  • Raymond Alan Dargan

    IRN RAD01050

    • SMF27 Partner (9 Dec 2019 to 11 Mar 2020)
    • CF30 Customer (10 Dec 2015 to 8 Dec 2019)
    • CF4 Partner (1 Mar 2011 to 17 Mar 2011)
  • Richard Pindar

    IRN RXP02243

    • CF30 Customer (24 Nov 2015 to 4 Oct 2017)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • TMR Strategic LLP (no longer appointed)

    FRN 542603 · Appointed 4 Mar 2011 · Until 13 Jul 2016

Recent activity

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

No changes recorded yet.