Date authorised
1 April 2013
Companies House
04687399
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    52-56 Leadenhall Street
    London
    EC3A 2EB
    UNITED KINGDOM
    Phone
    +4402030115700
  • Complaints Contact

    52 - 54 Leadenhall Street
    London
    EC3A 2EB
    UNITED KINGDOM
    Phone
    +4402030191110

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 Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Authorised to Operate

  • Arranges Investments

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

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

  • Alison Thornberry

    IRN AXG00105

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 18 Jan 2011)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (15 Sep 2004 to 23 Nov 2005)
    • CF1 Director (15 Sep 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (15 Sep 2004 to 31 Oct 2007)
    • CF3 Chief Executive (15 Sep 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (15 Sep 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (15 Sep 2004 to 23 Nov 2005)
  • Anthony John O'Callaghan

    IRN AJO01043

    • CF1 Director (29 Jun 2009 to 15 Jan 2010)
  • Daniel John Maleary

    IRN DJM01615

    • CF29 Significant management (31 Mar 2017 to 17 Jul 2017)
  • David Gerard Thornberry

    IRN DGT00008

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (8 Jul 2005 to 31 Oct 2007)
  • David L King

    IRN DLK01022

    • CF1 Director (16 Aug 2010 to 22 Nov 2017)
  • David Lewis

    IRN DXL01833

    • SMF9 Chair of the Governing Body (26 Apr 2024 to 5 Feb 2026)
    • SMF3 Executive Director (26 Apr 2024 to 5 Feb 2026)
    • [FCA CF] Significant management (9 Dec 2019 to 13 Mar 2022)
    • CF2 Non Executive Director (26 Jun 2018 to 8 Dec 2019)
  • Douglas Black

    IRN DXB02827

    • CF2 Non Executive Director (21 Jun 2018 to 1 Aug 2019)
  • Gary Ronald Andrew Ensor

    IRN GRE01039

    • CF2 Non Executive Director (12 Jul 2011 to 29 Apr 2013)
  • Maureen Anne Gardner

    IRN MAG01118

    • CF22 Investment Adviser (Trainee) (21 Jan 2005 to 22 Mar 2006)
    • CF1 Director (15 Sep 2004 to 1 Oct 2006)
  • Peter James Goodman

    IRN PJG01284

    • CF3 Chief Executive (AR) (12 Apr 2017 to 4 Jul 2017)
    • CF1 Director (AR) (12 Apr 2017 to 4 Jul 2017)

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.