Date authorised
1 April 2013
Companies House
03944901
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Northern & Shell Building
    10 Lower Thames Street
    London
    EC3R 6EN
    UNITED KINGDOM
    Phone
    +442039989755
  • Complaints Contact

    The Northern & Shell Building
    10 Lower Thames Street
    London
    London
    EC3R 6EN
    UNITED KINGDOM
    Phone
    +442039989755

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

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

  • Authorised to Operate

    Show 1 limitation
    • · 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

  • Stockbroking

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

  • Investment Setup

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

Approved individuals

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

  • Andrew Hunter Barker

    IRN AHB01084

    • CF2 Non Executive Director (9 Jun 2008 to 8 Dec 2019)
  • Barbara Ann Small

    IRN BAS01073

    • [FCA CF] Significant management (since 9 May 2022)
  • Clive Stuart Freeman

    IRN CSF01022

    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (27 Nov 2020 to 2 Jan 2024)
    • CF29 Significant management (1 Nov 2007 to 3 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 3 Dec 2019)
    • CF11 Money Laundering Reporting (14 Jan 2005 to 3 Dec 2019)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF3 Chief Executive (14 Jan 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • Craig Shuttleworth

    IRN CXS00080

    • CF1 Director (AR) (16 Nov 2020 to 23 Jan 2023)
  • James Wright

    IRN JXW02632

    • CF29 Significant management (29 Nov 2017 to 3 Dec 2019)
    • CF10 Compliance Oversight (29 Nov 2017 to 3 Dec 2019)
  • Jeremy Colletta

    IRN JXC00365

    • CF1 Director (AR) (10 Feb 2021 to 9 Feb 2022)
  • John James Tallarida

    IRN JJT01081

    • Director of firm who is not a certification employee or a SMF manager (since 2 Mar 2022)
  • John Woodruffe Eagle

    IRN JWE01033

    • CF2 Non Executive Director (15 Nov 2007 to 8 Dec 2019)
  • Lars Peter Rickard Ahlås

    IRN LPA01010

    • CF1 Director (AR) (13 Nov 2020 to 23 Jan 2023)
  • Marion Betty Freeman

    IRN MBF01015

    • CF1 Director (14 Jan 2005 to 3 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.