Date authorised
1 April 2013
Companies House
02096061
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 4 limitations
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 5 limitations
    • · Limited to dealing-only activities.
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 3 limitations
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 4 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to transaction-only activities.
    • · Limited to investment management activities for the specified customer types.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

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

  • Julie Louise Smythe

    IRN JLS01154

    • CF29 Significant management (1 Nov 2007 to 9 Mar 2012)
    • CF20 Significant Mgt (Settlements) (21 Feb 2007 to 31 Oct 2007)
  • Jun Yu

    IRN JXY01018

    • [FCA CF] Client dealing (1 Jun 2020 to 31 May 2021)
    • CF30 Customer (15 Sep 2008 to 8 Dec 2019)
  • Kristi Lynne Mitchem

    IRN KXM14540

    • SMF3 Executive Director (9 Dec 2019 to 8 Nov 2021)
    • CF1 Director (22 May 2019 to 8 Dec 2019)
  • Lars Nielsen

    IRN LXN01018

    • [FCA CF] Material risk taker (since 1 Jun 2020)
    • [FCA CF] Significant management (since 1 Jun 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (11 May 2015 to 8 Dec 2019)
    • CF30 Customer (17 Oct 2008 to 8 Dec 2019)
  • Laura Drummond

    IRN LXD00377

    • [FCA CF] Client dealing (1 Jul 2024 to 25 Jun 2025)
  • Luke Casey

    IRN LXC01462

    • [FCA CF] Client dealing (since 1 Jun 2020)
    • CF30 Customer (16 Jul 2015 to 8 Dec 2019)
  • MINESH GHEDIA

    IRN MXG02166

    • [FCA CF] Material risk taker (since 1 Jan 2026)
  • Mark Douglas Pratt

    IRN MDP01144

    • CF1 Director (6 Dec 2017 to 31 Oct 2019)
  • Mark James Hudgell

    IRN MJH01254

    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 11 Aug 2006)
  • Mary Choksi

    IRN MXC01527

    • CF2 Non Executive Director (1 Dec 2001 to 14 Dec 2007)

Recent activity

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

No changes recorded yet.