Date authorised
1 April 2013
Companies House
05739054
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    10 Fenchurch Avenue
    London
    EC3M 5AG
    UNITED KINGDOM
    Phone
    +440800000000
  • Complaints Contact

    5 Central Way
    Kildean Business Park
    Stirling
    FK8 1FT
    UNITED KINGDOM
    Phone
    +4403456710110

What this firm is allowed to do

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

  • Pension Transfer Advice

    For 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 Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  • Insurance Admin

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

  • Stockbroking

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

  • 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 Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

  • Ahmad Ayoubi

    IRN AXA02803

    • Appointed representative dealing with clients for which they require qualification (24 Jul 2025 to 17 Apr 2026)
    • CF30 Customer (23 Jul 2025 to 17 Apr 2026)
    • CF1 Director (AR) (23 Jul 2025 to 17 Apr 2026)
  • Alain Mengoli

    IRN AXM02613

    • CF30 Customer (13 Nov 2014 to 29 Jan 2016)
  • Alan Dardis

    IRN AXD01200

    • CF30 Customer (9 Sep 2013 to 2 Nov 2013)
  • Alan James Watson

    IRN AJW01513

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 7 Jan 2022)
    • [FCA CF] Client dealing (since 6 Jul 2020)
    • [FCA CF] Functions requiring qualifications (since 6 Jul 2020)
    • CF30 Customer (31 Oct 2016 to 8 Dec 2019)
  • Alan John Butterworth

    IRN AJB01657

    • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
  • Alan Mark Jones

    IRN AMJ00020

    • CF30 Customer (4 May 2021 to 22 Sep 2021)
    • CF1 Director (AR) (4 May 2021 to 22 Sep 2021)
  • Alan McPhail

    IRN AXM00166

    • CF30 Customer (14 Sep 2015 to 21 Oct 2017)
  • Alan Michael Lewry

    IRN AML00025

    • CF30 Customer (9 Sep 2013 to 1 Apr 2014)
  • Alana Jane Shaw

    IRN AJS01541

    • CF30 Customer (11 Sep 2017 to 8 Dec 2019)
  • Alastair Breen

    IRN AXB04455

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 20 Jan 2025)
    • CF30 Customer (since 17 Jan 2025)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • William McElhone (no longer appointed)

    FRN 1020936 · Appointed 8 Nov 2024 · Until 9 Jan 2026

  • Philip Hay (no longer appointed)

    FRN 1019823 · Appointed 21 Oct 2024 · Until 11 Nov 2024

  • Marc Baldrey (no longer appointed)

    FRN 1019652 · Appointed 14 Oct 2024 · Until 3 Sep 2025

  • Life Providence Wealth Ltd (no longer appointed)

    FRN 1019542 · Appointed 10 Oct 2024 · Until 30 Jun 2025

  • KSM WEALTH MANAGEMENT LTD (no longer appointed)

    FRN 1017794 · Appointed 24 Sep 2024 · Until 10 Mar 2026

  • Jack Harris (no longer appointed)

    FRN 1019001 · Appointed 13 Sep 2024 · Until 18 Sep 2025

  • Tommy Hong (no longer appointed)

    FRN 1019071 · Appointed 13 Sep 2024 · Until 26 Nov 2024

  • Michael Stockley (no longer appointed)

    FRN 1018813 · Appointed 13 Sep 2024 · Until 17 Sep 2025

  • Victor Lopez Perez (no longer appointed)

    FRN 1019218 · Appointed 13 Sep 2024 · Until 24 Nov 2025

  • Thomas Willingham (no longer appointed)

    FRN 1017921 · Appointed 12 Sep 2024 · Until 17 Sep 2025

Recent activity

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

No changes recorded yet.