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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Paul Richard Bullivant
IRN PRB01176
- (1398)CF30 Customer (27 Mar 2015 to 31 Jul 2016)
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Paul Richard Heydon
IRN PRH01114
- (157)CF4 Partner (AR) (14 Jan 2005 to 31 Dec 2008)
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Paul Richard Hume-Miller
IRN PRH01161
- (152)CF4 Partner (AR) (23 Dec 2008 to 5 Jan 2009)
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Paul Robert Bennett
IRN PRB01158
- (140)CF4 Partner (AR) (1 May 2007 to 31 Dec 2014)
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Paul Ronald Moore Terrington
IRN PRT00019
- (724)CF30 Customer (22 Jun 2009 to 8 Jan 2016)
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Paul Simon Wright
IRN PSW00017
- (1285)CF30 Customer (8 Nov 2010 to 30 Apr 2012)
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Paul Smith
IRN PJS01298
- (1225)CF22 Investment Adviser (Trainee) (26 Mar 2003 to 26 Sep 2005)
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Paul Stephen Davis
IRN PSD00015
- (1089)CF30 Customer (1 Nov 2007 to 28 Jul 2016)
- (1091)CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
- (1090)CF22 Investment Adviser (Trainee) (2 Dec 2005 to 20 Sep 2006)
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Paul Sutherland
IRN PXS00301
- (1066)[PRA CF] Significant risk taker or Material risk taker (7 Jun 2021 to 8 Jun 2021)
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Paul Turner
IRN PXT01442
- (431)CF4 Partner (AR) (28 Mar 2013 to 24 Nov 2016)
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: (110)CF4 Partner (AR)
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controlled function added: (109)CF4 Partner (AR)
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controlled function added: (108)CF4 Partner (AR)
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controlled function added: (107)CF4 Partner (AR)
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controlled function added: (106)CF4 Partner (AR)
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controlled function added: (105)CF4 Partner (AR)
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controlled function added: (104)CF4 Partner (AR)
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controlled function added: (103)CF4 Partner (AR)
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controlled function added: (102)CF4 Partner (AR)
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controlled function added: (101)CF4 Partner (AR)