Rizwan Javed

Date authorised
1 December 2001
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    109 Hagley Road
    Edgbaston
    Birmingham
    West Midlands
    B16 8LA
    UNITED KINGDOM
    Phone
    +4401216877000

  • Complaints Contact

    109 Hagley Road
    Edgbaston
    Birmingham
    West Midlands
    B16 8LA
    UNITED KINGDOM
    Phone
    +4401216877000

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • 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 pension policies with a Guaranteed Annuity Rate.
    • · 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 5 limitations
    • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
    • · Limited to giving advice on investments which are part of a privatisation or rights issue and where no arrangements in relation to any dealing in those investments are made by the firm.
    • · Limited to giving advice on investments (except life policies) where any transaction in those investments is effected otherwise than as an execution only transaction by a permitted third party (which is an independent intermediary), which permitted third party has an agreement with the client concerned, the existence of which is acknowledged in writing between the firm and the permitted third party.
    • · Limited to giving advice, but not a recommendation, on life policies to a client who has a direct client agreement with a permitted third party (which is an independent intermediary), where arrangements exist for that advice to be reviewed by the permitted third party and any alternative advice offered directly to the client by the permitted third party.
    • · Limited to commenting on advice given to a client by a Permited Third Party.

  • Authorised to Operate

  • Arranges Investments

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Subject to this activity being limited to a non-mainstream regulated activity

  • Insurance Admin

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

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Subject to this activity being limited to a non-mainstream regulated activity

Approved individuals

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

  • Richard Anthony Basford

    IRN RAB00018

    • CF30 Customer (since 7 Mar 2025)
    • CF1 Director (AR) (since 7 Mar 2025)
  • Rizwan Javed

    IRN RXJ01099

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • Sole trader dealing with clients for which they require qualification (since 8 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (7 Jul 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Zabila Haq

    IRN ZXH01012

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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