NUCLEUS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Greenside

  12 Blenheim Place

  Edinburgh

  Midlothian

  EH7 5JH

  UNITED KINGDOM

  Phone

  +4401312269800

  Web

  https://www.nucleusfinancial.com

• Complaints Contact

  Suite B & C

  First Floor

  Milford House

  43 - 55, Milford Street

  Salisbury

  Wiltshire

  SP1 2BP

  UNITED KINGDOM

  Phone

  +4401312269740

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit

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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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit

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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.

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

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  • · The firm is limited to dealing as principal in investments in the rights under the scheme(s) it operates.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit

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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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

  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.

• Aileen Janette Mathieson

  IRN AJM01606

  • CF10a CASS Oversight function (1 Oct 2011 to 4 Jul 2013)
  • CF11 Money Laundering Reporting (11 Apr 2011 to 24 Jun 2014)
  • CF28 Systems and controls (9 Apr 2010 to 7 Jul 2011)
  • CF10 Compliance Oversight (9 Apr 2010 to 24 Jun 2014)
  • CF1 Director (9 Apr 2010 to 6 Oct 2014)
• Alan James McDonald

  IRN AXM05465

  • SMF2 Chief Finance (22 Apr 2025 to 15 Oct 2025)
  • [FCA CF] Material risk taker (3 Jan 2025 to 19 May 2025)
  • [FCA CF] Significant management (3 Jan 2025 to 19 May 2025)
• Alan Mooney

  IRN AXM00491

  • [FCA CF] Significant management (9 Dec 2019 to 18 Nov 2022)
• Alastair James Clarkson

  IRN AXC44358

  • SMF10 Chair of the Risk Committee (since 1 Aug 2025)
• Alex Kovach

  IRN AXK02801

  • SMF18 Other Overall Responsibility (23 Feb 2022 to 1 Jan 2024)
• Alexander Filshie

  IRN AXF01555

  • SMF3 Executive Director (26 Feb 2024 to 20 Dec 2024)
  • SMF2 Chief Finance (26 Feb 2024 to 20 Dec 2024)
• Alice Dixie

  IRN AXD37916

  • [FCA CF] Significant management (1 Jan 2022 to 23 Jan 2026)
  • [FCA CF] Material risk taker (1 Jan 2022 to 2 Jan 2022)
• Alison Gail Bragg

  IRN AGB01181

  • Director of firm who is not a certification employee or a SMF manager (since 8 Jul 2025)
• Alison Paula Longbottom

  IRN AXL00130

  • SMF18 Other Overall Responsibility (since 23 Feb 2022)
• Andrew Charles Danby Bloch

  IRN ACB00009

  • CF2 Non Executive Director (27 Jul 2010 to 31 May 2016)

No changes recorded yet.