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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William Andrew Garnett Johnson
IRN WAJ01014
- (1429)CF4 Partner (AR) (22 Jun 2009 to 12 Feb 2014)
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William Charles Knox
IRN WCK01001
- (1191)CF4 Partner (AR) (14 Jan 2005 to 30 May 2008)
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William Cross
IRN WXC01154
- (369)CF4 Partner (AR) (26 Jan 2007 to 30 Sep 2016)
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William David Cunningham
IRN WDC00005
- (91)CF30 Customer (1 Nov 2007 to 6 Mar 2014)
- (92)CF22 Investment Adviser (Trainee) (26 Mar 2007 to 24 Jul 2007)
- (93)CF21 Investment Adviser (14 Oct 2002 to 22 Jul 2005)
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William David Melvyn Jones
IRN WDJ01015
- (1212)CF30 Customer (20 Jul 2012 to 31 Jul 2016)
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William Edward Hunter Baillie
IRN WXB08973
- (32)CF4 Partner (AR) (since 4 Dec 2018)
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William Gordon Hawkins
IRN WGH01018
- (259)CF4 Partner (AR) (since 14 Jan 2005)
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William Gwyn Thomas
IRN WGT01008
- (879)CF4 Partner (AR) (14 Jan 2005 to 1 Oct 2022)
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William John Hugh Whyte
IRN WJW01052
- (293)CF4 Partner (AR) (since 1 Feb 2007)
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William Lane
IRN WXL00009
- (271)CF21 Investment Adviser (1 Dec 2001 to 10 May 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: (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