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.

  • Leslie Hayes

    IRN LXH01124

    • CF1 Director (1 Dec 2001 to 3 Jul 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 17 Mar 2008)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 17 Mar 2008)
  • Lewis David Wood

    IRN LDW01026

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (19 Aug 2019 to 8 Dec 2019)
  • Lewis William Parfitt

    IRN LXP00384

    • [FCA CF] Client dealing (since 29 May 2024)
  • Louis Daniel Anthony Pouget

    IRN LDP01024

    • CF30 Customer (29 Mar 2016 to 8 Dec 2019)
  • Lousia Katherine Follis

    IRN LKF01006

    • CF21 Investment Adviser (21 Jan 2005 to 20 Jul 2005)
  • Margarita Retzou

    IRN MXR00369

    • [FCA CF] Client dealing (6 Jul 2021 to 16 Dec 2022)
  • Mark Carlisle

    IRN MXC01371

    • CF30 Customer (1 Nov 2007 to 4 May 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Mark George Robert Hamblin

    IRN MGH01086

    • [FCA CF] Client dealing (since 11 Jan 2022)
  • Mark James Richardson

    IRN MJR01213

    • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (25 Jun 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Dec 2002 to 31 Oct 2007)
  • Mark Oliver Reddihough

    IRN MOR01008

    • CF30 Customer (1 Nov 2007 to 25 Jul 2013)
    • CF21 Investment Adviser (12 Jun 2006 to 31 Oct 2007)

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.