Date authorised
1 April 2013
Companies House
OC303040
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    120 Regent Street
    London
    W1B 5FE
    UNITED KINGDOM
    Phone
    +4402077301200
  • Complaints Contact

    Strata Partners
    120 Regent Street
    London
    Westminster
    W1B 5FE
    UNITED KINGDOM
    Phone
    +4402077301200

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, Retail (Investment), Certificates representing certain security, Debenture, 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, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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), Rights to or interests in investments (Security), Share, 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.
  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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), Rights to or interests in investments (Security), Share, 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.

Approved individuals

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

  • Christian Martin Stiefmueller

    IRN CMS01079

    • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
    • CF21 Investment Adviser (20 Oct 2003 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (20 Oct 2003 to 31 Oct 2007)
  • Clemens Manfred Kolbe

    IRN CMK01048

    • CF30 Customer (1 Nov 2007 to 1 Nov 2008)
    • CF23 Corporate Finance Adviser (1 Jun 2007 to 31 Oct 2007)
  • Daniel Richard Edward Bevan

    IRN DRB01083

    • CF30 Customer (1 Nov 2007 to 19 Oct 2009)
    • CF23 Corporate Finance Adviser (25 Oct 2007 to 31 Oct 2007)
  • David James Howard

    IRN DXH00356

    • [FCA CF] Client dealing (1 Mar 2021 to 31 Mar 2024)
  • David Kovacs

    IRN DXK01611

    • CF30 Customer (21 Apr 2015 to 26 Jun 2017)
  • Dion Andrew Jones Vaughan

    IRN DAV01022

    • CF30 Customer (1 Nov 2007 to 26 Jun 2017)
    • CF23 Corporate Finance Adviser (7 Feb 2003 to 31 Oct 2007)
  • Douglas Philip Edward Smith

    IRN DPS01098

    • CF30 Customer (1 Nov 2007 to 27 Nov 2008)
    • CF23 Corporate Finance Adviser (24 Mar 2003 to 31 Oct 2007)
  • Edward Stephen Wentworth Roskill

    IRN ESR01005

    • SMF27 Partner (9 Dec 2019 to 31 Mar 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (17 Dec 2002 to 31 Oct 2007)
    • CF3 Chief Executive (17 Dec 2002 to 3 Jul 2014)
    • CF4 Partner (17 Dec 2002 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (17 Dec 2002 to 31 Oct 2007)
  • Erik Sebastian Hall

    IRN EXH00193

    • [FCA CF] Client dealing (since 17 Jan 2022)
  • Goncalo Sarmento

    IRN GXS07341

    • CF30 Customer (18 Oct 2018 to 13 Feb 2019)

Recent activity

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

No changes recorded yet.