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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Sally Jean Drummond
IRN SJD01304
- (19)CF4 Partner (AR) (16 Apr 2012 to 12 May 2019)
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Samantha Eloise Webster
IRN SEW01101
- (890)CF4 Partner (AR) (20 Dec 2010 to 20 Jun 2025)
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Samantha Jacqueline Weeks
IRN SJW01467
- (368)CF4 Partner (AR) (since 18 Nov 2014)
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Samantha Jane Rees
IRN SJD01187
- (1248)CF30 Customer (6 Jan 2014 to 31 Jul 2016)
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Samantha Jayne Fisher
IRN SJF01165
- (740)CF4 Partner (AR) (14 Jan 2005 to 8 Aug 2007)
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Samuel Charles Bowen
IRN SCB01188
- (1043)CF4 Partner (AR) (4 Jul 2018 to 28 Jul 2022)
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Samuel David Tingle
IRN SDT01060
- (163)CF4 Partner (AR) (since 19 Oct 2009)
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Samuel Dovey
IRN SXD01447
- (72)CF4 Partner (AR) (14 Jan 2005 to 29 Feb 2020)
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Samuel John William Bettridge
IRN SJB01377
- (1370)CF30 Customer (1 Nov 2007 to 31 Jul 2016)
- (1372)CF21 Investment Adviser (29 Dec 2003 to 31 Oct 2007)
- (1371)CF22 Investment Adviser (Trainee) (22 Oct 2002 to 29 Dec 2003)
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Samuel Joseph Erwin
IRN SJE00031
- (1095)CF30 Customer (1 Nov 2007 to 31 Jul 2016)
- (1097)CF21 Investment Adviser (22 Mar 2002 to 31 Oct 2007)
- (1096)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 22 Mar 2002)
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: (280)CF4 Partner (AR)
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controlled function added: (279)CF4 Partner (AR)
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controlled function added: (278)CF4 Partner (AR)
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controlled function added: (277)CF4 Partner (AR)
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controlled function added: (276)CF4 Partner (AR)
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controlled function added: (275)CF4 Partner (AR)
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controlled function added: (274)CF4 Partner (AR)
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controlled function added: (273)CF4 Partner (AR)
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controlled function added: (272)CF4 Partner (AR)
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controlled function added: (271)CF4 Partner (AR)