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.

  • Roderick MacLeod MacRae

    IRN RMM01057

    • CF4 Partner (6 Apr 2017 to 31 Oct 2017)
  • Roger Anthony Jones

    IRN RAJ01060

    • CF4 Partner (17 Apr 2007 to 11 Jan 2016)
  • Sarah-Jane Lyons

    IRN SXL18609

    • SMF18 Other Overall Responsibility (since 1 Apr 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2022)
  • Simon Peter Brett

    IRN SPB01151

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2020)
    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (17 Apr 2007 to 31 Oct 2007)
  • Simon Railton Metcalf

    IRN SRM01128

    • CF4 Partner (17 Apr 2007 to 22 Jan 2011)
  • Simon Watson

    IRN SXW02315

    • [FCA CF] Client dealing (9 Dec 2019 to 23 Oct 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Oct 2025)
    • CF30 Customer (17 Jan 2018 to 8 Dec 2019)
  • Simone Luke Molica-Franco

    IRN SLM01112

    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 29 Jan 2024)
    • [FCA CF] Client dealing (since 29 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 29 Jun 2022)
  • Stephen Lennon

    IRN SXL01824

    • CF30 Customer (7 Oct 2014 to 6 Feb 2017)
  • Thomas James Lloyd

    IRN TJL01123

    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • Thomas John Williams

    IRN TXW00039

    • CF4 Partner (23 Feb 2010 to 11 Jan 2016)

Recent activity

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

No changes recorded yet.