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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Thomas Joseph Brett
IRN TJB01183
- (659)CF4 Partner (AR) (21 Jul 2008 to 30 Nov 2009)
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Thomas Luke Lodge
IRN TLL01012
- (1231)CF30 Customer (21 Jan 2009 to 4 Oct 2011)
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Thomas MacIntyre
IRN TXM00077
- (601)CF21 Investment Adviser (1 Dec 2001 to 14 Dec 2006)
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Thomas Malcolm Shepherd
IRN TMS00021
- (345)CF4 Partner (AR) (since 19 Sep 2013)
- (962)CF30 Customer (1 Nov 2007 to 2 Nov 2008)
- (963)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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Thomas Mark Jones
IRN TMJ01026
- (746)CF4 Partner (AR) (22 Dec 2008 to 17 May 2013)
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Thomas Richard Soanes
IRN TRS01093
- (42)CF4 Partner (AR) (since 6 Jun 2018)
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Thomas William Berryman
IRN TWB01052
- (319)CF4 Partner (AR) (since 15 Jul 2008)
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Thomas William Deacon
IRN TWD01023
- (777)CF4 Partner (AR) (12 Oct 2017 to 17 Apr 2023)
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Thomas William Worboys
IRN TWW01035
- (94)CF4 Partner (AR) (31 Jul 2018 to 29 Feb 2020)
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Timothy Charles Whitlock
IRN TCW01040
- (365)CF4 Partner (AR) (14 Jan 2005 to 30 Jun 2010)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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N J Davies, D E Williams, C M Norman, & P Robins
FRN 417755 · Appointed 14 Jan 2005
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N J Parkinson & K M Scotting
FRN 418165 · Appointed 14 Jan 2005
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N J Tait & J R Laughton
FRN 407865 · Appointed 14 Jan 2005
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O J Newport & A J Clifton
FRN 407677 · Appointed 14 Jan 2005
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J G S May, B C Llewellyn-Rees, M J Latchford, M J Ley & G E J Humber
FRN 403217 · Appointed 14 Jan 2005
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P C Hambling, R A Hicks, C J Pybus & H L Lumley-Senior
FRN 402951 · Appointed 14 Jan 2005
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D James, M J Welton, A C Price, J P Bird & G J Wheatley
FRN 401965 · Appointed 14 Jan 2005
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J E Prewett, C D Mould & A L Tiley
FRN 418170 · Appointed 14 Jan 2005
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J E Oliver, A J Lovelock & J Rigby
FRN 407946 · Appointed 14 Jan 2005
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D A Lyle & I M Logan
FRN 407679 · Appointed 14 Jan 2005
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (600)Responsible for Insurance Distribution
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controlled function added: (599)SMF18 Other Overall Responsibility
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controlled function added: (598)[FCA CF] Material risk taker
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controlled function added: (597)[PRA CF] Significant risk taker or Material risk taker
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controlled function added: (596)[FCA CF] Significant management
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controlled function added: (595)[FCA CF] Material risk taker
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controlled function added: (594)[PRA CF] Significant risk taker or Material risk taker
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controlled function added: (593)[FCA CF] Manager of certification employee
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controlled function added: (592)[FCA CF] Material risk taker
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controlled function added: (591)[PRA CF] Significant risk taker or Material risk taker