Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
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Complaints Contact
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Investment Advice (no pensions)
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · Advice to retail clients is limited to corporate finance business only
- · 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.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · 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.
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Investment Setup
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · 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.
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Robin Andrew McCann
IRN RAM01222
- (126)[FCA CF] Client dealing (since 1 Nov 2022)
- (2049)CF30 Customer (3 Dec 2007 to 27 Sep 2013)
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Robin Arthur Jordan Lawson
IRN RAL01078
- (790)CF23 Corporate Finance Adviser (1 Dec 2001 to 14 Jul 2004)
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Robin Lynn Baskin
IRN RXB01515
- (477)CF21 Investment Adviser (15 Aug 2002 to 27 Jul 2004)
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Robin William Hubbard
IRN RWH01082
- (2218)CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2007)
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Rodrigo Alonso de Morillo-Velarde López-Cobo
IRN RXD00469
- (391)[FCA CF] Client dealing (since 19 Feb 2024)
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Rodrigo Alvarez de Toledo
IRN RXA01854
- (85)CF30 Customer (20 Nov 2014 to 6 Mar 2016)
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Rodrigo Guerra Reategui
IRN RXG00591
- (306)[FCA CF] Client dealing (since 19 May 2025)
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Roger Brazg
IRN RXB01313
- (885)CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2003)
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Roger Edward Ewart-Smith
IRN REE01010
- (2217)[FCA CF] Manager of certification employee (31 Dec 2020 to 23 Jun 2023)
- (2216)[FCA CF] Client dealing (31 Dec 2020 to 23 Jun 2023)
- (2214)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- (2215)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
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Roger John William Hemming
IRN RJH01182
- (954)CF30 Customer (1 Nov 2007 to 30 Sep 2013)
- (955)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Rothschild & Co Europe Partnership (no longer appointed)
FRN 801234 · Appointed 9 Feb 2018 · Until 25 Mar 2021
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Lanebridge Investment Management Limited (no longer appointed)
FRN 550909 · Appointed 13 May 2011 · Until 12 Jun 2024
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (370)[FCA CF] Client dealing
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controlled function added: (369)[FCA CF] Client dealing
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controlled function added: (368)[FCA CF] Client dealing
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controlled function added: (367)[FCA CF] Client dealing
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controlled function added: (366)[FCA CF] Client dealing
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controlled function added: (365)[FCA CF] Client dealing
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controlled function added: (364)[FCA CF] Client dealing
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controlled function added: (363)[FCA CF] Client dealing
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controlled function added: (362)[FCA CF] Client dealing
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controlled function added: (361)[FCA CF] Client dealing