RFC AMBRIAN LIMITED

Date authorised
1 April 2013
Companies House
04236075
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Octagon Point
    5 Cheapside
    London
    EC2V 6AA
    UNITED KINGDOM
    Phone
    +4402034406800
    Web
    https://www.rfcambrian.com

  • Complaints Contact

    5 Cheapside
    London
    EC2V 6AA
    UNITED KINGDOM
    Phone
    +4402034406800

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, Retail (Investment), Certificates representing certain security, 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), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

    Show 2 limitations
    • · 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.
    • · Limited to corporate finance business as defined in the FSA Handbook Glossary, this limitation does not extend to the investment types "share" and "debenture".

  • Stockbroking

    For Eligible Counterparty, Professional, Debenture, Share, Warrant

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

    Show 2 limitations
    • · 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.
    • · Limited to corporate finance business as defined in the FSA Handbook Glossary, this limitation does not extend to the investment types "share" and "debenture".

Approved individuals

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

  • Philip John Dorgan

    IRN PJD01101

    • CF30 Customer (9 Oct 2009 to 9 Jul 2010)
  • Puja Bharadia

    IRN PXB01924

    • CF30 Customer (30 Sep 2008 to 31 Oct 2008)
  • Raymond Sai-Wai Shuai

    IRN RSS01092

    • CF30 Customer (1 Nov 2007 to 29 Aug 2008)
    • CF23 Corporate Finance Adviser (22 Oct 2007 to 31 Oct 2007)
  • Richard David George Welton

    IRN RDW01042

    • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
    • CF23 Corporate Finance Adviser (21 Sep 2006 to 31 Oct 2007)
  • Richard Giles Lucas

    IRN RGL01022

    • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
    • CF21 Investment Adviser (18 May 2005 to 31 Oct 2007)
  • Richard James Chase

    IRN RJC01186

    • CF3 Chief Executive (5 Oct 2009 to 16 May 2011)
    • CF30 Customer (1 Nov 2007 to 16 May 2011)
    • CF1 Director (27 Mar 2006 to 16 May 2011)
    • CF23 Corporate Finance Adviser (27 Mar 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (19 Feb 2003 to 31 Oct 2007)
  • Richard John Graves Morrison

    IRN RJM01229

    • CF30 Customer (6 Jun 2011 to 6 Aug 2013)
  • Richard John Swindells

    IRN RJS01217

    • CF30 Customer (28 Apr 2008 to 13 Jul 2011)
  • Richard Mark Greenfield

    IRN RMG01106

    • CF30 Customer (1 Nov 2007 to 30 Dec 2010)
    • CF23 Corporate Finance Adviser (18 Sep 2006 to 31 Oct 2007)
  • Richard Paul Brown

    IRN RXB01479

    • CF30 Customer (1 Nov 2007 to 2 Feb 2011)
    • CF23 Corporate Finance Adviser (8 Nov 2005 to 31 Oct 2007)
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Recent activity

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

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