SEVEN DIALS FINANCIAL LIMITED

Date authorised
1 April 2013
Companies House
04961999
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    503 Antonine Heights
    City Walk
    London
    Southwark
    SE1 3DB
    UNITED KINGDOM
    Phone
    +447968796374
    Web
    https://www.7dials.com

  • Complaints Contact

    503 Antonine Heights
    City Walk
    London
    Southwark
    SE1 3DB
    UNITED KINGDOM
    Phone
    +447968796374

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 Commercial, Eligible Counterparty, Professional, Alternative Debenture, Debenture, Government and public security, Non-investment insurance contracts, Rights to or interests in investments (Security), Share, 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, Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Rights to or interests in investments (Security), Share, 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.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Insurance Admin

    For Commercial, Non-investment insurance contracts

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

  • Stockbroking

    For Commercial, Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Rights to or interests in investments (Security), Share, Unit

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Rights to or interests in investments (Security), Share, 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.

  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Brett Leigh Robinson

    IRN BLR01018

    • [FCA CF] Client dealing (since 4 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (23 Mar 2006 to 31 Oct 2007)
    • CF3 Chief Executive (25 Mar 2004 to 8 Dec 2019)
    • CF1 Director (25 Mar 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Mar 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Mar 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (25 Mar 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (25 Mar 2004 to 8 Dec 2019)
  • John Allen Bolitho

    IRN JAB01323

    • CF2 Non Executive Director (17 Nov 2006 to 16 Oct 2008)
  • Lisa Caroline Van Koetsveld

    IRN LCV01004

    • CF13 Finance (20 Apr 2005 to 28 Feb 2006)
  • Mark James Carrington

    IRN MXC01771

    • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • CF27 Investment Management (23 Mar 2006 to 31 Oct 2007)
  • Mickola Rosemary Wilson

    IRN MRW01172

    • [FCA CF] Client dealing (since 4 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (13 May 2008 to 8 Dec 2019)
    • CF1 Director (13 May 2008 to 8 Dec 2019)
  • Paul Francis Oliver

    IRN PFO01004

    • CF30 Customer (5 Dec 2011 to 8 Dec 2019)
  • Simon William Critchlow

    IRN SWC01051

    • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
    • CF21 Investment Adviser (5 Feb 2007 to 31 Oct 2007)
    • CF2 Non Executive Director (23 Sep 2005 to 31 Dec 2008)
  • Stephen Francis Palmer

    IRN SFP01019

    • CF1 Director (25 Mar 2004 to 3 Oct 2005)

Recent activity

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

No changes recorded yet.