Date authorised
1 April 2013
Companies House
OC322243
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Aurora
    Counterslip
    Bristol
    BS1 6BX
    UNITED KINGDOM
    Phone
    +4403300945900
  • Complaints Contact

    Aurora
    Counterslip
    Bristol
    BS1 6BX
    UNITED KINGDOM
    Phone
    +4403300945900

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 2 limitations
    • · The firm is limited to dealing as principal in investments, arranging (bringing about) deals in investments and making arrangements in investments in the rights under the scheme(s) that it operates.
    • · 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, Retail (Investment), 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), Personal pension scheme, 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, Retail (Investment), 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), Personal pension scheme, 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.
  • Trades With You Directly

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

    Show 1 limitation
    • · The firm is limited to dealing as principal in investments, arranging (bringing about) deals in investments and making arrangements in investments in the rights under the scheme(s) that it operates.
  • Runs Personal Pensions

    For Personal pension scheme

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 2 limitations
    • · The firm is limited to dealing in principle in investments, arranging (bringing about) deals in investments and making arrangements in investments in the rights under the scheme(s) that it operates.
    • · 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.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, 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.
  • Holds Your Assets

    For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, 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.

  • Jaymini Madhu Garala

    IRN JMG01202

    • CF4 Partner (17 Apr 2007 to 11 Jan 2016)
  • Jeanette Marie Cook

    IRN JMC00003

    • CF4 Partner (11 Jan 2013 to 3 Sep 2018)
    • CF10a CASS Oversight function (1 Oct 2011 to 10 Apr 2012)
    • CF10 Compliance Oversight (1 May 2011 to 3 Sep 2018)
    • CF11 Money Laundering Reporting (1 May 2011 to 10 Dec 2012)
  • Jeremy Goulding Lodwick

    IRN JGL01027

    • CF4 Partner (17 Apr 2007 to 11 Jan 2016)
  • Joe Yallop

    IRN JXY00027

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
    • [FCA CF] Client dealing (since 3 Aug 2020)
  • Julie Dawn Gale

    IRN JXG00215

    • SMF4 Chief Risk (since 17 Feb 2023)
    • SMF16 Compliance Oversight (since 17 Feb 2023)
    • SMF16 Compliance Oversight (1 Jun 2021 to 13 Dec 2021)
  • Madhu Garala

    IRN MXG01682

    • CF4 Partner (17 Apr 2007 to 11 Jan 2016)
  • Mark Bonehill

    IRN MXB02728

    • CF4 Partner (22 Feb 2011 to 27 Jul 2016)
  • Mark Foster

    IRN MXF00143

    • 14. Managing investments
    • [FCA CF] Client dealing (since 5 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2024)
  • Mark Steers

    IRN MXS00383

    • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2022)
  • Martin Roy Jennings

    IRN MRJ01092

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (9 Dec 2019 to 13 Dec 2021)
    • CF4 Partner (23 Jun 2016 to 8 Dec 2019)
    • CF3 Chief Executive (23 Jun 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.