Date authorised
2 November 2020
Companies House
11877412
Last scraped
6 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    13th Floor
    40 Leadenhall Street
    London
    City Of London
    EC3A 2BJ
    UNITED KINGDOM
    Phone
    +442039851800
  • Complaints Contact

    13th Floor
    40 Leadenhall Street
    London
    City Of London
    EC3A 2BJ
    UNITED KINGDOM
    Phone
    +442039851800

What this firm is allowed to do

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

    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.

  • Scott Charnock

    IRN SXC02122

    • SMF4 Chief Risk (since 18 Sep 2024)
    • SMF16 Compliance Oversight (since 18 Sep 2024)
  • Simon Bradbury

    IRN SXB70548

    • [FCA CF] Significant management (since 16 Jan 2025)
    • SMF24 Chief Operations (30 Jun 2023 to 16 Jan 2025)
    • [FCA CF] Significant management (15 Mar 2021 to 30 Jun 2023)
  • Simon William Gaffney

    IRN SWG01038

    • SMF3 Executive Director (2 Nov 2020 to 20 Jan 2022)
  • Siobhan Cifelli

    IRN SCC01086

    • Director of firm who is not a certification employee or a SMF manager (since 2 Nov 2020)
  • Stephen Cross

    IRN SXC00649

    • [FCA CF] Significant management (since 2 Nov 2020)
    • SMF7 Group Entity Senior Manager (11 Oct 2023 to 16 Jan 2025)
  • Stephen King

    IRN SXK00459

    • [FCA CF] CASS oversight function (since 30 Mar 2022)
  • Stephen Phillip McGill

    IRN SPM01208

    • Responsible for Insurance Distribution (since 2 Nov 2020)
    • SMF1 Chief Executive (since 2 Nov 2020)
    • SMF3 Executive Director (since 2 Nov 2020)
  • Tim Fillingham

    IRN TXF01152

    • [FCA CF] Significant management (2 Nov 2020 to 7 Feb 2022)
  • Tobi Peters

    IRN TXP00328

    • [FCA CF] Significant management (since 1 Aug 2024)
  • Toby Sisson

    IRN TXS03718

    • [FCA CF] Significant management (since 2 Nov 2020)

Recent activity

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

No changes recorded yet.