Date authorised
1 April 2013
Companies House
OC309959
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    134 Buckingham Palace Road
    London
    SW1W 9SA
    UNITED KINGDOM
    Phone
    +4402072591000
  • Complaints Contact

    134 Buckingham Palace Road
    London
    SW1W 9SA
    UNITED KINGDOM
    Phone
    +4402072591000

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, 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.
  • 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, 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.
  • 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, 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, 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.
  • 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, 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.
  • Specialist Investment Funds

  • 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, 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.

Approved individuals

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

  • Juliet Cherie Louise Marber

    IRN JCM01165

    • SMF27 Partner (9 Dec 2019 to 3 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Apr 2024)
    • CF4 Partner (1 Oct 2015 to 8 Dec 2019)
    • CF30 Customer (15 Jan 2013 to 8 Dec 2019)
  • Madeline Muriel Fairhurst

    IRN MMF01045

    • [FCA CF] Client dealing (9 Dec 2019 to 25 Apr 2025)
    • CF30 Customer (9 Aug 2017 to 8 Dec 2019)
  • Nigel Owen St. Clair Waller

    IRN NOW01004

    • SMF1 Chief Executive (16 Oct 2020 to 5 Sep 2024)
    • SMF27 Partner (9 Dec 2019 to 1 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Mar 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (11 Aug 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Aug 2005 to 30 Sep 2008)
    • CF27 Investment Management (21 Mar 2005 to 31 Oct 2007)
  • Ratiben Patel

    IRN RXP02277

    • CF30 Customer (3 Mar 2016 to 4 Mar 2019)
  • Richard Oldfield

    IRN RSO00001

    • [FCA CF] Client dealing (since 19 Aug 2024)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF9 Chair of the Governing Body (28 Jan 2020 to 26 Apr 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 21 Apr 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (10 Jan 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (10 Jan 2005 to 1 Apr 2011)
    • CF10 Compliance Oversight (10 Jan 2005 to 6 Jan 2006)
    • CF4 Partner (10 Jan 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jan 2005 to 31 Oct 2007)
    • CF3 Chief Executive (10 Jan 2005 to 5 Oct 2018)
  • Richard Stephen Garstang

    IRN RSG01069

    • SMF1 Chief Executive (since 11 Apr 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (5 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (26 Jun 2007 to 31 Oct 2007)
  • Robert Niels White

    IRN RNW01020

    • SMF27 Partner (9 Dec 2019 to 8 Apr 2020)
    • CF10 Compliance Oversight (2 Oct 2008 to 1 Apr 2011)
    • CF30 Customer (1 Nov 2007 to 26 Sep 2019)
    • CF4 Partner (17 Aug 2007 to 8 Dec 2019)
    • CF27 Investment Management (17 Aug 2007 to 31 Oct 2007)
  • Samuel James Ziff

    IRN SJZ01005

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF4 Partner (18 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (24 Apr 2013 to 8 Dec 2019)
  • Thomas Richard Taylor

    IRN TRT01005

    • SMF27 Partner (9 Dec 2019 to 1 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Mar 2025)
    • CF30 Customer (27 Jun 2008 to 8 Dec 2019)
    • CF4 Partner (27 Jun 2008 to 8 Dec 2019)
  • Thomas Underhill

    IRN TXU01004

    • [FCA CF] Client dealing (1 Jul 2021 to 13 Jul 2022)

Recent activity

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

No changes recorded yet.