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.

  • Philip Dauncey

    IRN PXD01517

    • [FCA CF] Functions requiring qualifications (8 Nov 2021 to 31 Mar 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2026)
    • CF30 Customer (14 Dec 2015 to 8 Dec 2019)
  • Philip Spencer Bayles

    IRN PSB01106

    • Responsible for Insurance Distribution (since 9 Jan 2026)
    • SMF1 Chief Executive (since 9 Jan 2026)
    • SMF3 Executive Director (since 9 Jan 2026)
    • [FCA CF] Significant management (20 Feb 2025 to 9 Jan 2026)
  • Reece Cohalan

    IRN RXC00737

    • [FCA CF] Significant management (1 May 2024 to 19 Feb 2026)
  • Richard John Lympany

    IRN RJL01196

    • SMF3 Executive Director (10 Jan 2022 to 10 Feb 2026)
  • Richard John Tuplin

    IRN RJT01178

    • SMF1 Chief Executive (11 Apr 2025 to 3 Dec 2025)
    • SMF3 Executive Director (11 Apr 2025 to 3 Dec 2025)
    • Responsible for Insurance Distribution (11 Apr 2025 to 3 Dec 2025)
  • Samantha Harden

    IRN SXH00528

    • CF1 Director (AR) (14 Feb 2022 to 9 Nov 2022)
  • Scott Nathan Lowe

    IRN SXL00403

    • [FCA CF] Significant management (since 20 Feb 2025)
  • Simon James Gulliford

    IRN SJG01185

    • SMF9 Chair of the Governing Body (since 19 Feb 2025)
  • Sindy Goldstone

    IRN SXG01426

    • [FCA CF] CASS oversight function (9 Dec 2019 to 2 Feb 2022)
  • Stephen John Tearle

    IRN SJT01193

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

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.