Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
Tiddington Road-Stratford-upon-AvonWarwickshireCV37 7BJUNITED KINGDOM- Phone
- +441789204211
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Complaints Contact
Tiddington Road-Stratford-upon-AvonWarwickshireCV37 7BJUNITED KINGDOM- Phone
- +441789204211
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Bank Deposits
For All, Deposit
Show 1 limitation Hide limitations
- · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
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P2P Lending Advice
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional
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Pension Transfer Advice
For Retail (Investment), Professional, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Personal pension scheme
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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.
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Investment Advice (no pensions)
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Non-investment insurance contracts, Personal pension scheme
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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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Non-investment insurance contracts, Personal pension scheme
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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Arranges Asset Safekeeping
For Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Personal pension scheme
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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Insurance Admin
For Retail (Non-Investment Insurance), Commercial, Non-investment insurance contracts
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Manages Insurance Policies
For All, Accident, Sickness, Land Vehicles, Railway rolling stock, Aircraft, Ships, Goods in transit, Fire and natural forces, Damage to property, Motor vehicle liability, Aircraft liability, Liability for ships, General liability, Credit, Suretyship, Miscellaneous financial loss, Legal expenses, Assistance, Life and annuity, Marriage and birth, Linked long-term, Permanent health, Capital redemption, Pension fund management
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Stockbroking
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Commodity Future, Commodity option and option on commodity future, Rolling spot forex contract, Spread Bet, Stakeholder pension scheme, Life Policy, Non-investment insurance contracts, Personal pension scheme
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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Trades With You Directly
For Retail (Investment), Professional, Eligible Counterparty, Life Policy, Rights to or interests in investments (Contractually Based Investments), 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Spread Bet
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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Issues Insurance
For All, Accident, Sickness, Land Vehicles, Railway rolling stock, Ships, Goods in transit, Fire and natural forces, Damage to property, Motor vehicle liability, Liability for ships, General liability, Credit, Suretyship, Miscellaneous financial loss, Legal expenses, Assistance, Life and annuity, Marriage and birth, Linked long-term, Permanent health, Capital redemption, Pension fund management
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Runs Stakeholder Pensions
For Retail (Investment), Professional
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Runs Personal Pensions
For Retail (Investment), Professional
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Investment Setup
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Non-investment insurance contracts, Personal pension scheme
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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Holds Your Assets
For Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Personal pension scheme
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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Timothy David Hewson-Stoate
IRN TDH01020
- (192)CF29 Significant management (1 Nov 2007 to 24 Apr 2009)
- (193)CF17 Significant Mgt (Other Business Operations) (2 Mar 2005 to 31 Oct 2007)
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Timothy James Willis
IRN TJW00008
- (1149)CF30 Customer (23 Apr 2010 to 30 Apr 2012)
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Timothy John Cavey
IRN TJC00038
- (262)CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2003)
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Timothy John Mann
IRN TJM01067
- (608)SMF18 Other Overall Responsibility (since 8 Mar 2019)
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Timothy John McKeon
IRN TJM01200
- (709)CF29 Significant management (9 Nov 2010 to 7 Apr 2017)
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Timothy John Pote
IRN TXP00019
- (498)CF4 Partner (AR) (since 17 Nov 2020)
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Timothy Karl Winder
IRN TKW01013
- (288)CF4 Partner (AR) (since 1 Mar 2007)
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Timothy Nicholas Batchelor - Wylam
IRN TNB01012
- (354)CF4 Partner (AR) (14 Jan 2005 to 31 Dec 2010)
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Timothy Oxley
IRN TXO01334
- (49)CF4 Partner (AR) (since 2 May 2018)
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Timothy Peter Lowe
IRN TPL00001
- (280)CF30 Customer (1 Nov 2007 to 7 Jan 2015)
- (282)CF21 Investment Adviser (13 Dec 2005 to 31 Oct 2007)
- (281)CF22 Investment Adviser (Trainee) (29 Apr 2004 to 13 Dec 2005)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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J H Hardman & A L Riley
FRN 785920 · Appointed 3 Aug 2017
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B L Williams, G C White & S M Heard
FRN 785513 · Appointed 31 Jul 2017
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H E Dorling & D M Thornton
FRN 783086 · Appointed 30 Jun 2017
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Alan R Bugler
FRN 768777 · Appointed 6 Jan 2017
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C A Modi & M S Baker
FRN 745377 · Appointed 27 Apr 2016
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S L Latter, N T Morgan, J M Matthews & M D Shepherd
FRN 727108 · Appointed 27 Nov 2015
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J F Fotherby & J A Hogg
FRN 718595 · Appointed 29 Sep 2015
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A J Cuthbertson, C M S Gilson, E L Mitchell & C R Coatsworth
FRN 713511 · Appointed 11 Aug 2015
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Alastair McAloon
FRN 713085 · Appointed 6 Aug 2015
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P J Randerson, E J Mills, M J Potter, T N Pow & J R Maxwell
FRN 709908 · Appointed 10 Jul 2015
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (520)[FCA CF] Significant management
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controlled function added: (519)[FCA CF] Manager of certification employee
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controlled function added: (518)[FCA CF] Material risk taker
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controlled function added: (517)[PRA CF] Significant risk taker or Material risk taker
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controlled function added: (516)[FCA CF] Material risk taker
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controlled function added: (515)[PRA CF] Significant risk taker or Material risk taker
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controlled function added: (514)[FCA CF] Significant management
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controlled function added: (513)[FCA CF] Material risk taker
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controlled function added: (512)[PRA CF] Significant risk taker or Material risk taker
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controlled function added: (511)[FCA CF] Significant management