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.

  • Gueorgui Valeriev Karaargirov

    IRN GVK01004

    • CF30 Customer (14 Jul 2010 to 15 Nov 2010)
  • Jean-David Herld

    IRN JXH03015

    • CF30 Customer (21 Jul 2017 to 11 Oct 2018)
  • Joachim Jan-Jozef Sabbat

    IRN JXS00505

    • [FCA CF] Client dealing (9 Dec 2020 to 31 May 2021)
  • Johannes Niemetz

    IRN JXN01249

    • CF30 Customer (1 Nov 2007 to 7 Nov 2011)
    • CF23 Corporate Finance Adviser (16 Nov 2006 to 31 Oct 2007)
  • John Farrugia

    IRN JXF01195

    • CF30 Customer (1 Nov 2007 to 1 Nov 2008)
    • CF23 Corporate Finance Adviser (20 Oct 2003 to 31 Oct 2007)
  • Karl Mrowiec

    IRN KXM01942

    • CF30 Customer (1 Apr 2014 to 15 Apr 2015)
  • Khilan Rameshlal Shah

    IRN KRS01067

    • [FCA CF] Significant management (9 Dec 2020 to 1 Jul 2023)
    • [FCA CF] Client dealing (9 Dec 2020 to 1 Jul 2023)
    • CF30 Customer (12 Aug 2008 to 8 Dec 2019)
  • Khurram Tajammal Farooq

    IRN KTF01006

    • CF30 Customer (24 Jul 2017 to 16 Apr 2018)
  • Kiren Asad

    IRN KXA01588

    • CF30 Customer (1 Apr 2014 to 13 Feb 2019)
  • Kush Parmar

    IRN KXP01469

    • [FCA CF] Client dealing (9 Dec 2020 to 31 Dec 2025)
    • CF30 Customer (3 Apr 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.