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.

• Nikki Coia

  IRN NXC00117

  • [FCA CF] Functions requiring qualifications (23 Jun 2023 to 31 Jul 2025)
  • [FCA CF] Client dealing (10 Feb 2022 to 23 Jun 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 23 Jun 2023)
• Owen Henry Wilson

  IRN OHW01003

  • Director of firm who is not a certification employee or a SMF manager (6 Aug 2021 to 21 Sep 2022)
• Paul James Bagley

  IRN PJB00168

  • [FCA CF] Significant management (since 14 Sep 2022)
  • [FCA CF] Material risk taker (14 Sep 2022 to 1 Aug 2025)
  • [FCA CF] Manager of certification employee (14 Sep 2022 to 21 Dec 2022)
• Paul Richard Bradshaw

  IRN PRB01117

  • CF2 Non Executive Director (19 Dec 2006 to 12 Jan 2017)
• Peter Gordon John Docherty

  IRN PGD01076

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • [FCA CF] Manager of certification employee (20 May 2025 to 21 May 2025)
  • [FCA CF] Significant management (20 May 2025 to 21 May 2025)
  • SMF16 Compliance Oversight (1 Jan 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2024 to 29 Jul 2024)
  • SMF4 Chief Risk (1 Jan 2024 to 7 May 2025)
• Philip Torbet Martin

  IRN PTM01041

  • CF11 Money Laundering Reporting (19 Dec 2006 to 1 Apr 2009)
  • CF1 Director (19 Dec 2006 to 1 Jun 2009)
• Rebecca Hardman

  IRN RXH00340

  • [FCA CF] Significant management (since 24 Sep 2025)
• Richard Alexander Collins

  IRN RAC01318

  • SMF16 Compliance Oversight (7 May 2025 to 1 Aug 2025)
  • SMF4 Chief Risk (7 May 2025 to 1 Aug 2025)
• Richard Alexander Rowney

  IRN RAR01116

  • SMF1 Chief Executive (since 15 Sep 2021)
  • SMF3 Executive Director (since 15 Sep 2021)
  • Responsible for Insurance Distribution (since 15 Sep 2021)
• Richard Anthony Warner

  IRN RAW01204

  • [FCA CF] Significant management (13 Jul 2024 to 17 Feb 2025)
  • SMF24 Chief Operations (9 Mar 2022 to 12 Jul 2024)

No changes recorded yet.