PricewaterhouseCoopers LLP

• Principal Place of Business

  1 Embankment Place

  London

  WC2N 6RH

  UNITED KINGDOM

  Phone

  +4402075835000

  Web

  https://www.pwc.co.uk

• Complaints Contact

  1 Embankment Place

  London

  WC2N 6RH

  UNITED KINGDOM

  Phone

  +4402075835000

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Eligible Counterparty, Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• 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, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• 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, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to where 1. the firm or a partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; and 2. no remuneration is received for managing the investments in addition to any remuneration which may be received for acting as the holder of the personal appointment.
  • · Limited to where the firm or a partner, employee or director of the firm is a personal representative of an estate, a bare trustee, nominee or custodian of assets or a trustee of an unregulated collective investment scheme.
  • · Limited where 1. the firm or a partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; and 2. substantially all day-to-day decisions about managing the investments are taken by, or in accordance with advice given by, a permitted third party under the terms of a written agreement with the holder of the personal appointment.
  • · Limited to where 1. the firm or partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; and 2. substantially all decisions about managing the investments need the agreement of one or more co-holders of the personal appointment other than (a) the firm or partners, employees or directors of the firm; or (b) associates of the firm.
  • · Limited where 1. the firm or a partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; 2. substantially all decisions about managing the investments are taken in accordance with advice given by a permitted third party under the terms of a written agreement with the firm; 3. the firm has revealed that it is acting for the particular holder of a personal appointment, and 4. the permitted third party has agreed that the holder of the personal appointment is its client.

• 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, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Stephen Simkins

  IRN SXS01567

  • CF26 Customer Trading (22 May 2003 to 15 Nov 2005)
  • CF22 Investment Adviser (Trainee) (22 May 2003 to 15 Nov 2005)
• Stephen Wiliam Harrison

  IRN SWH01035

  • CF23 Corporate Finance Adviser (22 May 2003 to 23 Aug 2004)
• Stephen William McCleary

  IRN SWM00004

  • CF30 Customer (1 Nov 2007 to 25 Jul 2011)
  • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (13 Sep 2006 to 1 Aug 2007)
  • CF26 Customer Trading (13 Sep 2006 to 1 Aug 2007)
• Steven David Moll

  IRN SDM01144

  • CF30 Customer (7 Mar 2011 to 19 Dec 2012)
• Steven James Catchpole

  IRN SJC01355

  • CF30 Customer (1 Nov 2007 to 1 Mar 2009)
  • CF21 Investment Adviser (30 May 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (22 Nov 2005 to 30 May 2007)
  • CF26 Customer Trading (22 Nov 2005 to 30 May 2007)
• Steven John Russell

  IRN SJR01318

  • [FCA CF] Significant management (9 Dec 2019 to 21 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Nov 2022)
  • CF29 Significant management (1 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
• Steven Nicholas Kirkpatrick

  IRN SXK00493

  • [FCA CF] Significant management (since 20 Jun 2022)
• Steven Paul Dicker

  IRN SPD01126

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (21 Sep 2011 to 8 Dec 2019)
• Steven Victor Utting

  IRN SVU01000

  • CF23 Corporate Finance Adviser (22 May 2003 to 5 Oct 2004)
• Stuart McKee

  IRN SXM01669

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2020)
  • CF29 Significant management (14 Jul 2011 to 29 Jan 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (22 May 2003 to 31 Oct 2007)

• PricewaterhouseCoopers Legal LLP (no longer appointed)

  FRN 718894 · Appointed 1 Oct 2015 · Until 1 Oct 2016

• PricewaterhouseCoopers Services Limited (no longer appointed)

  FRN 706528 · Appointed 15 Jun 2015 · Until 3 Mar 2025

• PricewaterhouseCoopers (Resources) (no longer appointed)

  FRN 704344 · Appointed 1 Jun 2015 · Until 23 Jan 2017

No changes recorded yet.