Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
St. James's Place House1 Tetbury RoadCirencesterGloucestershireGL7 1FPUNITED KINGDOM- Phone
- +4401285640302
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Complaints Contact
St. James's Place House1 Tetbury RoadCirencesterGloucestershireGL7 1FPUNITED KINGDOM- Phone
- +4401285640302
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Bank Deposits
For All, Deposit
Show 1 limitation Hide limitations
- · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Investment), Professional, Personal pension scheme, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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Arranges Asset Safekeeping
For Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Personal pension scheme
Show 1 limitation Hide 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.
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Manages Insurance Policies
For All, Life and annuity, Linked long-term, Permanent health, Pension fund management
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Stockbroking
For Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Commodity Future, Commodity option and option on commodity future, Life Policy, Rolling spot forex contract, Spread Bet, Stakeholder pension scheme, Personal pension scheme
Show 1 limitation Hide 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.
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Trades With You Directly
For Retail (Investment), Professional, Eligible Counterparty, Life Policy, Rights to or interests in investments (Contractually Based Investments), 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Spread Bet, Rights to or interests in investments (Security), Personal pension scheme
Show 3 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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Issues Insurance
For All, Life and annuity, Linked long-term, Permanent health, Pension fund management
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Runs Personal Pensions
For Retail (Investment), Professional, Personal pension scheme
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Investment Setup
For Retail (Investment), Professional, Personal pension scheme, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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Holds Your Assets
For Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), 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), Rolling spot forex contract, Spread Bet, Personal pension scheme
Show 1 limitation Hide 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.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
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Richard John Evans
IRN RJE00011
- (75)CF21 Investment Adviser (1 Dec 2001 to 26 Mar 2002)
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Richard John Felton
IRN RJF00029
- (773)CF21 Investment Adviser (1 Dec 2001 to 8 Jun 2003)
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Richard Joseph Hudson
IRN RJH00063
- (644)CF22 Investment Adviser (Trainee) (29 May 2002 to 3 Jun 2003)
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Richard Julian
IRN RXJ00002
- (198)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Richard Lee-Warder
IRN RXL00027
- (148)CF22 Investment Adviser (Trainee) (3 Dec 2002 to 3 Jun 2003)
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Richard Leslie Jenkins
IRN RLJ00001
- (58)CF21 Investment Adviser (1 Dec 2001 to 2 Apr 2002)
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Richard Mark Thomas
IRN RMT00003
- (391)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Apr 2002)
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Richard Mark Wilson
IRN RMW00047
- (1031)CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2002)
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Richard Miles Broughton
IRN RMB00005
- (1317)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Richard Paul Ash
IRN RPA00010
- (1815)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Kingsgate Financial Management (no longer appointed)
FRN 216603 · Appointed 16 Jul 2002 · Until 3 Jun 2003
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Pinkwell Property Search Ltd (no longer appointed)
FRN 214499 · Appointed 8 Jul 2002 · Until 3 Jun 2003
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (2090)CF21 Investment Adviser
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controlled function added: (2089)CF21 Investment Adviser
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controlled function added: (2088)CF21 Investment Adviser
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controlled function added: (2087)CF21 Investment Adviser
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controlled function added: (2086)CF21 Investment Adviser
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controlled function added: (2085)CF21 Investment Adviser
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controlled function added: (2084)CF21 Investment Adviser
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controlled function added: (2083)CF22 Investment Adviser (Trainee)
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controlled function added: (2082)CF21 Investment Adviser
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controlled function added: (2081)CF22 Investment Adviser (Trainee)