Date authorised
1 September 2016
Companies House
09415365
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1A Tower Square
    Leeds
    West Yorkshire
    LS1 4DL
    UNITED KINGDOM
    Phone
    +4403301659040
  • Complaints Contact

    1A Tower Square
    Leeds
    West Yorkshire
    LS1 4DL
    UNITED KINGDOM
    Phone
    +4403301659040

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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Investment Setup

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Robert Harrison

    IRN RXH02264

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 28 Oct 2020)
    • [FCA CF] Client dealing (since 28 Oct 2020)
  • Robert Samuel Duncan Mugenyi Ndawula

    IRN RSN01023

    • SMF3 Executive Director (since 3 Apr 2025)
  • Samantha Jane Moxham

    IRN SXM91827

    • SMF3 Executive Director (22 Dec 2020 to 16 Jun 2021)
  • Samuel Jones

    IRN SXL00384

    • [FCA CF] Client dealing (17 Nov 2021 to 19 Jan 2024)
    • [FCA CF] Functions requiring qualifications (17 Nov 2021 to 19 Jan 2024)
  • Sarika Dhanjal

    IRN SXK01574

    • [FCA CF] Manager of certification employee (since 28 Oct 2022)
  • Steven Michael Allen

    IRN SMA01199

    • SMF3 Executive Director (9 Dec 2019 to 29 Sep 2023)
    • CF1 Director (9 Mar 2018 to 8 Dec 2019)
  • Thomas Brian Wortley Sparke

    IRN TXS01788

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 17 Sep 2024)
    • [FCA CF] Client dealing (since 17 Sep 2024)
  • Thomas Francis Wood

    IRN TFW01013

    • SMF1 Chief Executive (since 7 Jul 2025)
    • SMF3 Executive Director (since 11 Oct 2024)
  • Timothy James Gillman

    IRN TXG06443

    • SMF3 Executive Director (18 Oct 2024 to 3 Nov 2025)

Recent activity

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

No changes recorded yet.