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

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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.

• Douglas Nicol Heron

  IRN DNH01045

  • CF29 Significant management (8 Nov 2017 to 31 Dec 2018)
  • CF10a CASS Oversight function (24 Nov 2015 to 31 Dec 2018)
  • CF28 Systems and controls (23 Jun 2015 to 1 Nov 2017)
• Elizabeth Jane Thorne

  IRN EJT01054

  • [FCA CF] Material risk taker (since 4 Aug 2025)
  • [FCA CF] Significant management (since 4 Aug 2025)
• Emma Louise Church

  IRN EXC00379

  • [FCA CF] Significant management (13 Aug 2024 to 31 Mar 2025)
• Emma Victoria Jowett-Ive

  IRN EXJ00144

  • [FCA CF] Significant management (5 Aug 2024 to 1 Aug 2025)
• Garry David McLuckie

  IRN GDM01100

  • [FCA CF] Significant management (9 Dec 2019 to 9 Sep 2021)
• Gillian Batchelor

  IRN GXB00690

  • [FCA CF] Significant management (since 1 Oct 2025)
• Gordon Wilson

  IRN GXW00200

  • SMF13 Chair of the Nominations Committee (since 27 Jun 2024)
  • SMF9 Chair of the Governing Body (since 11 Nov 2022)
• Helen Josephine Wallace-Smith

  IRN HXW00243

  • [FCA CF] Significant management (13 Aug 2024 to 5 Sep 2025)
• Helen Wakeford

  IRN HMW01034

  • [FCA CF] Significant management (since 19 Jan 2026)
• Hugh Male

  IRN HXM55022

  • [FCA CF] Material risk taker (1 Jan 2022 to 2 Dec 2025)
  • [FCA CF] Significant management (1 Jan 2022 to 2 Dec 2025)

No changes recorded yet.