Date authorised
1 April 2013
Companies House
00984275
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Tower Place West
    London
    EC3R 5BU
    UNITED KINGDOM
    Phone
    +442076266000
  • Complaints Contact

    1 Tower Place West
    London
    EC3R 5BU
    UNITED KINGDOM
    Phone
    +442076266000

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, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), 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 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.
  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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.
  • Insurance Admin

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

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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.
  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.
  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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.
  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Alastair Murdoch Hunter

    IRN AMH01085

    • CF8 Apportionment and Oversight (19 May 2004 to 19 May 2004)
    • CF16 Significant Mgt (Desgntd Investment Business) (19 May 2004 to 1 Jul 2005)
    • CF1 Director (1 Dec 2001 to 1 Jul 2005)
  • Alastair Thomson Loudon

    IRN ATL01037

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Feb 2012 to 8 Dec 2019)
  • Alastair Torquil Walker

    IRN ATW01022

    • CF21 Investment Adviser (1 Dec 2001 to 1 Oct 2007)
  • Alec Stokes

    IRN AXS00607

    • [FCA CF] Client dealing (since 28 Feb 2023)
  • Alex Jeffreys Reeves

    IRN AJR00045

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (5 Apr 2019 to 8 Dec 2019)
  • Alex Morrow

    IRN AXM05188

    • [FCA CF] Client dealing (since 4 Jun 2024)
  • Alexander George Geere

    IRN AGG01090

    • [FCA CF] Manager of certification employee (since 30 Oct 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (19 May 2017 to 8 Dec 2019)
  • Alexander Guy Thompson

    IRN AGT01067

    • CF30 Customer (16 Aug 2012 to 13 May 2016)
  • Alexander James Bold

    IRN AJB01682

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (17 Oct 2018 to 8 Dec 2019)
  • Alexander John Leishman

    IRN AXL08787

    • [FCA CF] Client dealing (since 1 Jan 2026)
    • [FCA CF] Manager of certification employee (since 1 Jan 2026)

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.