Date authorised
1 April 2013
Companies House
03163656
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Tower Bridge House
    St. Katharines Way
    London
    E1W 1BQ
    UNITED KINGDOM
    Phone
    +4402072651871
  • Complaints Contact

    Tower Bridge House
    St Katharines Way
    London
    E1W 1BQ
    UNITED KINGDOM
    Phone
    +4402072651871

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, Alternative Debenture, 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, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Alternative Debenture, 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, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

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

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, 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)

    Show 1 limitation
    • · 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, Alternative Debenture, 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, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

    Show 1 limitation
    • · 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.

  • Henry Ian MacLellan

    IRN HIM01007

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (7 Nov 2018 to 8 Dec 2019)
  • Henry James Ambrose

    IRN AXH02261

    • CF30 Customer (8 Nov 2013 to 21 Apr 2014)
  • Howard Joseph de Podesta

    IRN HJD01064

    • CF30 Customer (18 Feb 2013 to 17 Aug 2017)
  • Ian James Rawlings

    IRN IXR00123

    • [FCA CF] Significant management (since 1 Jan 2025)
  • Jack David Smith

    IRN JDS01251

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 Jan 2017 to 8 Dec 2019)
  • Jake Constable

    IRN JXC02695

    • [FCA CF] Client dealing (since 6 Feb 2020)
  • Jake Edward Chidi Gregory

    IRN ECG01033

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (15 May 2017 to 8 Dec 2019)
  • James Adam Pearce

    IRN JAP01180

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (18 Mar 2010 to 30 Jun 2011)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (16 Aug 2005 to 31 Oct 2007)
  • James Balfour Low

    IRN JBL01041

    • CF1 Director (4 Jul 2005 to 14 Sep 2007)
    • CF21 Investment Adviser (13 May 2004 to 14 Sep 2007)
  • James Charles Whistler

    IRN JXW00324

    • [FCA CF] Client dealing (9 Dec 2019 to 5 Sep 2022)

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.