Moorgate Capital Group Ltd

Date authorised
1 April 2013
Companies House
06876348
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Moorgate Capital
    78-79 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +442070607007
    Web
    https://www.moorgate-capital.co.uk

  • Complaints Contact

    Moorgate Capital
    78-79 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +442070607007

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, Certificates representing certain security, 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, 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, Certificates representing certain security, 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, 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.

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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.

  • Nicholas Mockett

    IRN NXM01208

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • CF3 Chief Executive (AR) (since 21 Jul 2025)
    • CF1 Director (AR) (since 21 Jul 2025)
    • CF30 Customer (since 21 Jul 2025)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jun 2010 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jun 2010 to 8 Dec 2019)
    • CF1 Director (3 Jun 2010 to 8 Dec 2019)
    • CF3 Chief Executive (3 Jun 2010 to 8 Dec 2019)
  • Quentin Charles Triscott Humberstone

    IRN QCH00002

    • CF30 Customer (15 Feb 2011 to 14 Dec 2011)
  • Richard Frederick Wallis

    IRN RFW01052

    • SMF3 Executive Director (9 Dec 2019 to 1 Jan 2020)
    • CF1 Director (3 Jun 2010 to 8 Dec 2019)
  • Robert Martin Davis

    IRN RMD01043

    • CF30 Customer (5 Nov 2010 to 31 Mar 2011)

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.