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
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- · 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
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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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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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Matthew James Mallin
IRN MXM00942
- (996)CF4 Partner (AR) (14 Sep 2022 to 12 Dec 2023)
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Matthew James Price
IRN MJP01255
- (262)CF4 Partner (AR) (since 14 Jan 2005)
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Matthew James Sharp
IRN MJS01531
- (1332)CF30 Customer (10 Jun 2014 to 31 Jul 2016)
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Matthew James Welton
IRN MJW01606
- (96)CF4 Partner (AR) (since 23 Nov 2016)
- (802)CF4 Partner (AR) (9 Nov 2015 to 18 Jan 2016)
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Matthew John Uren
IRN MXU14697
- (22)CF4 Partner (AR) (since 8 May 2019)
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Matthew Lawrence Gould
IRN MLG01052
- (1295)CF30 Customer (24 Mar 2014 to 31 Jul 2016)
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Matthew Leonard Scott
IRN MLS01113
- (210)CF29 Significant management (2 Aug 2011 to 1 Dec 2011)
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Matthew Peter Boothby
IRN MPB01182
- (1049)CF4 Partner (AR) (9 May 2018 to 15 Jan 2021)
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Matthew Peter Byrne
IRN MPB01174
- (609)SMF20 Chief Actuary (since 10 Dec 2018)
- (1369)SIMF20 Chief Actuary Function (10 Jun 2016 to 9 Dec 2018)
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Matthew Richard Cliff
IRN MRC01216
- (361)CF4 Partner (AR) (since 5 Feb 2015)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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S E Smith & D M Cookson (no longer appointed)
FRN 407871 · Appointed 14 Jan 2005 · Until 30 Nov 2017
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S J Hepburn & C D Duncan (no longer appointed)
FRN 416873 · Appointed 14 Jan 2005 · Until 1 Aug 2021
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S P Bartlett, O J Newport & S C Hedges (no longer appointed)
FRN 401987 · Appointed 14 Jan 2005 · Until 31 Dec 2017
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (190)CF4 Partner (AR)
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controlled function added: (189)CF4 Partner (AR)
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controlled function added: (188)CF4 Partner (AR)
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controlled function added: (187)CF4 Partner (AR)
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controlled function added: (186)CF4 Partner (AR)
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controlled function added: (185)CF4 Partner (AR)
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controlled function added: (184)CF4 Partner (AR)
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controlled function added: (183)CF4 Partner (AR)
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controlled function added: (182)CF4 Partner (AR)
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controlled function added: (181)CF4 Partner (AR)