Date authorised
1 April 2013
Companies House
OC312897
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    20 Grosvenor Street
    -
    London
    W1K 4QJ
    UNITED KINGDOM
    Phone
    +442071078400
  • Complaints Contact

    20 Grosvenor Street
    -
    London
    W1K 4QJ
    UNITED KINGDOM
    Phone
    +442071078400

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Binary Bet, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 Eligible Counterparty, Professional, Binary Bet, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 other investment types granted for this activity.
  • Stockbroking

    For Eligible Counterparty, Professional, Binary Bet, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 other investment types granted for this activity.
  • Investment Setup

    For Eligible Counterparty, Professional, Binary Bet, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 other investment types granted for this activity.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Binary Bet, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 other investment types granted for this activity.

Approved individuals

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

  • Stephan Puetter

    IRN SXP01625

    • CF30 Customer (21 Jan 2015 to 5 Jan 2018)
  • Stephanie Ann Shepard Cobb

    IRN SAS01348

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • CF11 Money Laundering Reporting (4 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Jun 2019 to 8 Dec 2019)
  • Stephanie Jane Allen

    IRN SJA01151

    • [FCA CF] Client dealing (9 Dec 2019 to 24 Dec 2019)
    • CF30 Customer (18 Aug 2011 to 8 Dec 2019)
  • Stephen Irwin Brown

    IRN SIB01022

    • [FCA CF] Client dealing (9 Dec 2019 to 6 May 2025)
    • CF30 Customer (15 Sep 2016 to 8 Dec 2019)
  • Stephen John Lucas

    IRN SJL01294

    • CF30 Customer (16 Dec 2014 to 12 Feb 2018)
  • Stephen Man

    IRN SXM01838

    • [FCA CF] Client dealing (17 Dec 2020 to 13 Oct 2023)
  • Steve Keller

    IRN SXK00290

    • [FCA CF] Material risk taker (1 Jan 2020 to 31 Dec 2021)
  • Steve Zymler

    IRN SXZ01133

    • [FCA CF] Algorithmic trading (since 15 Apr 2025)
    • [FCA CF] Client dealing (since 8 May 2024)
  • Steven Douglas Fage

    IRN SDF01029

    • [FCA CF] Client dealing (since 29 Sep 2022)
  • Steven Gene Hanson

    IRN SGH01089

    • CF30 Customer (1 Nov 2007 to 19 Mar 2009)
    • CF27 Investment Management (24 Apr 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.