Date authorised
1 April 2013
Companies House
06948349
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    63 St Mary Axe
    London
    EC3A 8AA
    UNITED KINGDOM
    Phone
    +4402071399100
  • Complaints Contact

    63 St Mary Axe
    London
    EC3A 8AA
    UNITED KINGDOM
    Phone
    +4402071399100

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Pension Transfer Advice

    For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Government and public security, Non-investment insurance contracts, Personal pension scheme, 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.
  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Government and public security, Non-investment insurance contracts, Personal pension scheme, 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.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Government and public security, 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.
  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Government and public security, 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.
  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Government and public security, Non-investment insurance contracts, Personal pension scheme, 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.
  • Manages Your Portfolio

    For Professional, Retail (Investment), Debenture, Government and public security, Personal pension scheme, 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.

  • Stephen Nicholas Brunt

    IRN SNB01050

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Mar 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
  • Stuart James Rhodes

    IRN SXR00232

    • [FCA CF] Functions requiring qualifications (14 Mar 2024 to 1 Aug 2024)
  • Thomas Richardson

    IRN TXR01350

    • CF30 Customer (17 Nov 2013 to 5 Aug 2016)
  • Thomas William Gordon Biggar

    IRN TWB01047

    • [FCA CF] Functions requiring qualifications (14 Dec 2021 to 5 Sep 2025)
    • [FCA CF] Client dealing (1 Nov 2021 to 5 Sep 2025)
  • Timothy Hugh Boler

    IRN THB01035

    • CF30 Customer (1 Jul 2010 to 31 Dec 2012)
    • CF1 Director (1 Jul 2010 to 18 Nov 2014)

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.