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
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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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Peter Harvey
IRN PXH01484
- (818)CF4 Partner (AR) (14 Jan 2005 to 4 Sep 2007)
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Peter Hickling
IRN PXH01485
- (258)CF4 Partner (AR) (14 Jan 2005 to 31 Oct 2010)
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Peter James Smith
IRN PJS01323
- (492)CF4 Partner (AR) (14 Jan 2005 to 1 May 2015)
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Peter Jay Offer
IRN PJO01056
- (830)CF4 Partner (AR) (14 Jan 2005 to 12 Dec 2023)
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Peter John Cunningham Galloway
IRN PXG00218
- (1)CF4 Partner (AR) (since 19 Jul 2021)
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Peter John McKay Drummond
IRN PJD01256
- (35)CF4 Partner (AR) (20 Oct 2010 to 31 Dec 2010)
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Peter John Randerson
IRN PXR87195
- (475)CF4 Partner (AR) (since 8 Jul 2020)
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Peter Michael O'Toole
IRN PMO00009
- (1114)CF30 Customer (1 Nov 2007 to 31 Jul 2016)
- (1116)CF21 Investment Adviser (23 Feb 2006 to 31 Oct 2007)
- (1115)CF22 Investment Adviser (Trainee) (8 Nov 2004 to 23 Feb 2006)
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Peter Neil Moran
IRN PNM00013
- (1238)CF30 Customer (1 Nov 2007 to 31 Jul 2016)
- (1239)CF21 Investment Adviser (10 Apr 2003 to 31 Oct 2007)
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Peter Wallin
IRN PXW00068
- (461)CF30 Customer (12 Feb 2015 to 31 Jul 2016)
- (462)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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H Merrins & B F Filmer
FRN 475994 · Appointed 1 Dec 2007
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R W Beaty & H Broughton
FRN 475951 · Appointed 30 Nov 2007
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S D Cross & V L Main
FRN 473107 · Appointed 25 Sep 2007
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L Blackwood, C P Haran, A P L White & W M Goldie
FRN 467567 · Appointed 4 May 2007
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H Maybin, A H Finlay, R H McMullan, L M McNeilly & D Black
FRN 464329 · Appointed 22 Feb 2007
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F C Thorogood, S Williams, R Taylor & J Harvey
FRN 463712 · Appointed 8 Feb 2007
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A J A Posnett, L R Spooner & J H Gold
FRN 462776 · Appointed 22 Jan 2007
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G L Griffiths & A J Wilks
FRN 455426 · Appointed 2 Aug 2006
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C S Jones, C M Jones, G A Griffiths, S R Hulme & H F Hughes
FRN 407932 · Appointed 14 Jan 2005
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C J Donaldson, R R Wilson, P Bennett, A J J Brown, R A Atkins & G Toal
FRN 407973 · Appointed 14 Jan 2005
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (140)CF4 Partner (AR)
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controlled function added: (139)CF4 Partner (AR)
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controlled function added: (138)CF4 Partner (AR)
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controlled function added: (137)CF4 Partner (AR)
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controlled function added: (136)CF4 Partner (AR)
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controlled function added: (135)CF4 Partner (AR)
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controlled function added: (134)CF4 Partner (AR)
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controlled function added: (133)CF4 Partner (AR)
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controlled function added: (132)CF4 Partner (AR)
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controlled function added: (131)CF4 Partner (AR)