Date authorised
1 April 2013
Companies House
01880176
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Southwest House
    11a Regent Street St James's
    London
    SW1Y 4LR
    UNITED KINGDOM
    Phone
    +442035358101
  • Complaints Contact

    Southwest House
    11a Regent Street St James's
    London
    SW1Y 4LR
    UNITED KINGDOM
    Phone
    +442035358128

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Michael James Harrison

    IRN MJH01252

    • CF30 Customer (1 Nov 2007 to 23 Jan 2009)
    • CF26 Customer Trading (1 Aug 2002 to 31 Oct 2007)
  • Michael John Groves

    IRN MJG01148

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF26 Customer Trading (2 May 2007 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 2 May 2007)
  • Michael John Walsh

    IRN MJW01629

    • CF1 Director (AR) (since 16 Oct 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (14 Dec 2016 to 8 Dec 2019)
  • Michael Walter Freund

    IRN MWF01038

    • CF1 Director (AR) (10 May 2021 to 15 Aug 2025)
    • SMF3 Executive Director (9 Dec 2019 to 29 Dec 2023)
    • CF1 Director (2 Aug 2011 to 8 Dec 2019)
  • Michael William Mortimore

    IRN MWM01077

    • [FCA CF] Client dealing (since 15 Dec 2022)
  • Michael Zhang

    IRN KXZ06659

    • [FCA CF] Client dealing (8 Apr 2024 to 16 Apr 2024)
  • Michal Bartek

    IRN MXB01403

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Michelle Lee Sanders

    IRN MLS01063

    • CF1 Director (10 Jun 2002 to 2 Jul 2007)
    • CF27 Investment Management (1 Dec 2001 to 2 Jul 2007)
  • Nicholas Toby Hiscock

    IRN NTH01015

    • CF1 Director (7 Apr 2009 to 1 Sep 2009)
  • Oliver Willaim Adcock

    IRN OWA01001

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (26 Aug 2009 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.