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.

• Richard Charles Thomas Hoad

  IRN RXH00581

  • [FCA CF] Significant management (since 9 Nov 2022)
• Richard Damer Maspero

  IRN RXM00278

  • [FCA CF] Significant management (9 Dec 2019 to 9 Jun 2023)
• Richard Hoskins

  IRN RXM00246

  • SMF14 Senior Independent Director (since 27 Mar 2025)
  • SMF11 Chair of the Audit Committee (since 2 Dec 2022)
• Robert Richardson Owen

  IRN RRO01005

  • CF2 Non Executive Director (19 Dec 2006 to 31 Dec 2009)
• Rory John MacLean

  IRN RJM01284

  • CF10 Compliance Oversight (24 Jun 2014 to 22 Sep 2017)
  • CF11 Money Laundering Reporting (24 Jun 2014 to 22 Sep 2017)
• Ross Allan

  IRN RXA77433

  • SMF24 Chief Operations (since 14 Apr 2025)
• Scott Macdonald

  IRN SXM09836

  • SMF18 Other Overall Responsibility (since 11 Jan 2024)
  • [FCA CF] Functions requiring qualifications (18 Feb 2022 to 11 Jan 2024)
  • [FCA CF] Material risk taker (18 Feb 2022 to 11 Jan 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 11 Jan 2024)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 11 Jan 2024)
  • CF10a CASS Oversight function (7 Feb 2019 to 8 Dec 2019)
• Simon Jones

  IRN SXJ56807

  • [FCA CF] Significant management (1 Jan 2022 to 8 Apr 2024)
  • [FCA CF] Material risk taker (1 Jan 2022 to 8 Apr 2024)
• Stephen James Tucker

  IRN SJT00034

  • CF2 Non Executive Director (19 Nov 2014 to 26 Jul 2018)
• Stephen Paul Andrew Knight

  IRN SAK01020

  • SMF24 Chief Operations (18 Mar 2024 to 23 Apr 2025)
  • [FCA CF] Manager of certification employee (1 Jan 2022 to 8 Apr 2024)
  • [FCA CF] Material risk taker (1 Jan 2022 to 8 Apr 2024)
  • [FCA CF] Significant management (1 Jan 2022 to 8 Apr 2024)

No changes recorded yet.