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.

  • Wayne Little

    IRN WXL00025

    • CF30 Customer (9 Jun 2017 to 13 Sep 2017)
  • Wayne Robert Lowe

    IRN WRL01017

    • [FCA CF] Functions requiring qualifications (6 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (6 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (10 Mar 2017 to 8 Dec 2019)
  • Wayne Smith

    IRN WXS01192

    • CF30 Customer (9 Sep 2013 to 6 May 2016)
  • Wen Cao

    IRN WXC00176

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 5 Dec 2024)
    • CF30 Customer (since 4 Dec 2024)
  • Wendy Twydell

    IRN WXT00105

    • CF1 Director (AR) (since 10 Jul 2025)
  • Wesley Harris

    IRN WXH00042

    • Appointed representative dealing with clients for which they require qualification (1 Aug 2021 to 4 Jan 2023)
    • CF30 Customer (26 Mar 2021 to 23 Jan 2023)
  • William Dolby Antill

    IRN WDA00008

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2021)
    • CF30 Customer (since 15 Jan 2021)
    • CF1 Director (AR) (since 15 Jan 2021)
    • [FCA CF] Functions requiring qualifications (28 Aug 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (28 Aug 2020 to 14 Feb 2021)
    • CF30 Customer (18 Jan 2018 to 8 Dec 2019)
  • William Douglas Murray

    IRN WDM00001

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 8 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 8 Dec 2021)
  • William Drummond

    IRN WXD00013

    • CF30 Customer (9 Sep 2013 to 5 Apr 2018)
  • William James Stokes

    IRN WXS00182

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 16 Sep 2024)
    • CF30 Customer (since 13 Sep 2024)
    • CF1 Director (AR) (since 13 Sep 2024)

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.