Date authorised
1 April 2013
Companies House
04338485
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Regent House
    80 Regent Road
    Leicester
    LE1 7NH
    UNITED KINGDOM
    Phone
    +4401162999007
  • Complaints Contact

    6 Bevis Marks
    London
    EC3A 7BA
    UNITED KINGDOM
    Phone
    +442080757971

What this firm is allowed to do

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

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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 Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.
  • Insurance Admin

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

  • Credit Brokering

  • Stockbroking

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

  • Debt Plan Admin

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

  • Mehboob Patel

    IRN MXP00300

    • [FCA CF] Significant management (since 20 Feb 2025)
  • Michael James Dallman

    IRN MJD01373

    • SMF3 Executive Director (20 Jan 2022 to 10 Feb 2026)
  • Nathan James Richardson

    IRN NJR01123

    • CF30 Customer (3 Nov 2009 to 2 Aug 2013)
  • Noel Christopher Lenihan

    IRN NCL01025

    • SMF16 Compliance Oversight (11 Feb 2022 to 13 Feb 2026)
    • SMF3 Executive Director (9 Dec 2019 to 13 Feb 2026)
    • CF1 Director (7 Mar 2019 to 8 Dec 2019)
  • Paul Michael Mather

    IRN PXM00219

    • CF1 Director (AR) (21 Feb 2022 to 11 Oct 2023)
  • Paul Steven Male

    IRN PSM00033

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Feb 2026)
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2021)
    • [FCA CF] Manager of certification employee (since 5 Nov 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 13 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Mar 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Nov 2006 to 31 Oct 2007)
    • CF1 Director (1 Nov 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
  • Penelope Jane Bishop

    IRN PXB01872

    • [FCA CF] Significant management (since 20 Feb 2025)
  • Perry Anthony Turner

    IRN PAT00059

    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Feb 2022)
    • SMF3 Executive Director (9 Dec 2019 to 1 Jan 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Jan 2022)
    • CF10 Compliance Oversight (11 Jun 2007 to 8 Dec 2019)
    • CF1 Director (1 Nov 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2006 to 30 Sep 2018)
  • Peter Ian Turner

    IRN PIT00006

    • SMF3 Executive Director (9 Dec 2019 to 1 Jan 2022)
    • CF8 Apportionment and Oversight (1 Nov 2006 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Nov 2006 to 11 Jun 2007)
    • CF1 Director (1 Nov 2006 to 8 Dec 2019)
  • Peter John Shaw

    IRN PJS00141

    • CF1 Director (1 Nov 2006 to 1 Oct 2018)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.