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
- +441285640302
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Retail Investment Funds
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Specialist Investment Funds
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
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Stephen Thomas Shaw
IRN STS00005
- (1443)CF21 Investment Adviser (1 Dec 2001 to 12 Jul 2002)
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Stephen Thomas Wilson Bentley
IRN STB00001
- (1166)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Stephen Turner Mills
IRN STM00006
- (710)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Stephen William Baxter
IRN SWB01062
- (1755)CF21 Investment Adviser (1 Nov 2002 to 6 Dec 2002)
- (1754)CF22 Investment Adviser (Trainee) (10 Jun 2002 to 1 Nov 2002)
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Stephen William Richardson
IRN SWR01030
- (987)CF21 Investment Adviser (6 Dec 2001 to 6 Dec 2001)
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Steve Anthony Marks
IRN SAM00058
- (725)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Steve Gilbert
IRN SGG00004
- (345)CF21 Investment Adviser (1 Dec 2001 to 15 Nov 2002)
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Steven Broad
IRN SXB00164
- (1361)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Steven David Boughton
IRN SDB00007
- (1261)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
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Steven Day
IRN SXD00007
- (415)CF21 Investment Adviser (1 Dec 2001 to 14 May 2003)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Hammersley & Hancock Mortgage Services (no longer appointed)
FRN 194170 · Appointed 12 Oct 2000 · Until 3 Jun 2004
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Anthony Swanston Consultants Ltd (no longer appointed)
FRN 193092 · Appointed 25 Sep 2000 · Until 3 Jun 2004
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E.C.A.N: Edinburgh Chartered Architects Network (no longer appointed)
FRN 193093 · Appointed 25 Sep 2000 · Until 3 Jun 2004
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Okehampton Financial Management (no longer appointed)
FRN 194092 · Appointed 13 Sep 2000 · Until 3 Jun 2004
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R W Duthie & Associates (no longer appointed)
FRN 193611 · Appointed 31 Aug 2000 · Until 10 Apr 2003
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Professional Independent Mortgage Services (no longer appointed)
FRN 194097 · Appointed 22 Aug 2000 · Until 3 Jun 2004
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (54)[FCA CF] Material risk taker
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controlled function added: (53)[FCA CF] Material risk taker
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controlled function added: (52)[FCA CF] Material risk taker
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controlled function added: (51)[FCA CF] Significant management
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controlled function added: (50)[FCA CF] Material risk taker
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controlled function added: (49)[FCA CF] Significant management
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controlled function added: (48)[FCA CF] Significant management
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controlled function added: (47)[FCA CF] Material risk taker
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controlled function added: (46)[FCA CF] Functions requiring qualifications
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controlled function added: (45)4. Giving personal recommendations on retail investment products which are not broker funds