Mountstone Partners Limited

• Principal Place of Business

  Mountstone Partners Ltd

  27-29 Beak Street

  London

  Westminster

  W1F 9RU

  UNITED KINGDOM

  Phone

  +4402036179162

  Web

  https://www.mountstonepartners.com

• Complaints Contact

  Mountstone Partners Ltd

  27-29 Beak Street

  London

  Westminster

  W1F 9RU

  UNITED KINGDOM

  Phone

  +4402036179162

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Structured Deposits, Unit, Warrant

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  • · 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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 Eligible Counterparty, Professional, 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

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  • · 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.

• Stockbroking

  For Eligible Counterparty, Professional, 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, Structured Deposits, Unit, Warrant

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  • · 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, 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, Structured Deposits, Unit, Warrant

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  • · 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.

• Manages Your Portfolio

  For Professional, 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, Structured Deposits, Unit, Warrant

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  • · 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.

• Adam Lorenzo Paul Anthony Cole Yafai

  IRN ALY00004

  • CF30 Customer (18 Jul 2016 to 13 May 2020)
• Alexander James Caswell

  IRN AXC00908

  • [FCA CF] Client dealing (4 Jun 2024 to 31 Jul 2025)
  • [FCA CF] Functions requiring qualifications (4 Jun 2024 to 31 Jul 2025)
• Alexander James Fray

  IRN AJF01253

  • CF11 Money Laundering Reporting (27 Jul 2012 to 24 Mar 2014)
  • CF1 Director (27 Jul 2012 to 24 Mar 2014)
• Charles Scott Dixon

  IRN CSD01032

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 1 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2022)
  • [FCA CF] Client dealing (since 1 Jul 2022)
  • [FCA CF] Significant management (since 1 Jul 2022)
  • [FCA CF] Material risk taker (since 1 Jul 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Dec 2015 to 8 Dec 2019)
  • CF30 Customer (7 Apr 2015 to 8 Dec 2019)
• Howard James Knights

  IRN HJK01029

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
• James Michael Keen

  IRN JMK00034

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 16 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 16 Aug 2022)
  • [FCA CF] Client dealing (since 16 Aug 2022)
  • [FCA CF] Significant management (since 16 Aug 2022)
  • [FCA CF] Manager of certification employee (since 16 Aug 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (7 Apr 2014 to 8 Dec 2019)
  • CF1 Director (27 Jul 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Jul 2012 to 8 Dec 2019)
  • CF30 Customer (27 Jul 2012 to 8 Dec 2019)
  • CF3 Chief Executive (27 Jul 2012 to 8 Dec 2019)
• Jonathan Mark Wright

  IRN JMW01346

  • CF30 Customer (16 Mar 2018 to 13 May 2020)
• Joshua Toms

  IRN JXT00690

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 May 2024)
  • [FCA CF] Client dealing (since 1 May 2024)
• Lisa Hamer

  IRN LXH01601

  • [FCA CF] Significant management (since 22 Sep 2025)
• MATTHEW LOWE

  IRN MXL17150

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (16 Jul 2019 to 8 Dec 2019)

• Amulet Private Office Limited (no longer appointed)

  FRN 752978 · Appointed 15 Jul 2016 · Until 14 May 2020

No changes recorded yet.