Date authorised
1 December 2001
Companies House
04296841
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Pinnacle
    150 Midsummer Boulevard
    Milton Keynes
    Buckinghamshire
    MK9 1LZ
    UNITED KINGDOM
    Phone
    +4401908662255
  • Complaints Contact

    The Pinnacle
    150 Midsummer Boulevard
    Milton Keynes
    Buckinghamshire
    MK9 1LZ
    UNITED KINGDOM
    Phone
    +4401908662255

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

    Show 5 limitations
    • · Limited to advice given to corporate finance businesses to or about small private companies (as defined in section 247 Companies Act 1985) while giving professional advice to or about those companies.
    • · Limited to commenting on investment advice on life policies given to a client by a Permited Third Party.
    • · Limited in respect of the firms specified investments except "life policy".
    • · Limited to giving advice, but not a recommendation, on life policies to a client who has a direct client agreement with a permitted third party (which is an independent intermediary), where arrangements exist for that advice to be reviewed by the permitted third party and any alternative advice offered directly to the client by the permitted third party.
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.
  • Authorised to Operate

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

    Show 3 limitations
    • · Limited in respect of the firms specified investments except "life policy".
    • · Limited to arranging transactions in life policies on the basis of alternative advice given after commenting on advice given to a client by a permitted third party.
    • · Limited to where the firm passes on a clients instructions in respect of life policies as a disclosed agent for the client to a permitted third party, where the firm has obtained advice for the client.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

  • Trade Settlement Routing

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.
  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Carrying this activity in the course of corporate finance business or listing of securities, but the firm must not act as a market maker.
  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

    Show 3 limitations
    • · Limited in respect of the firms specified investments except "life policy".
    • · Limited to arranging transactions in life policies on the basis of alternative advice given after commenting on advice given to a client by a permitted third party.
    • · Limited to where the firm passes on a clients instructions in respect of life policies as a disclosed agent for the client to a permitted third party, where the firm has obtained advice for the client.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

  • Holds Your Assets

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Stakeholder pension scheme, Unit, Warrant

  • Electronic Trade Settlement

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

Approved individuals

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

Recent activity

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

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