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

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Oriel Chambers
    14 Water Street
    Liverpool
    Merseyside
    L2 8TD
    UNITED KINGDOM
    Phone
    +4401517087616
  • Complaints Contact

    Oriel Chambers
    14 Water Street
    Liverpool
    Merseyside
    L2 8TD
    UNITED KINGDOM
    Phone
    +4401517087616

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    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 Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, 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.
  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, 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.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity
  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, 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.

  • Adrian Leary

    IRN AXL00035

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 25 Feb 2022)
  • Danielle Julie Bretherton

    IRN DXB00213

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
    • [FCA CF] Client dealing (3 Aug 2020 to 25 Feb 2022)
  • David Thomas O'Rourke

    IRN DTO00001

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 25 Feb 2022)
  • John O`Connor

    IRN JXO00059

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 25 Feb 2022)
  • Karl Jonathan Mitchell

    IRN KJM00004

    • [FCA CF] Client dealing (9 Dec 2019 to 25 Feb 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2025)
  • Michael John Carlyle

    IRN MXC00341

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 20 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 20 Jan 2021)
  • Paul Steven Hart

    IRN PSH00019

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 25 Feb 2022)
  • Robert Beattie

    IRN RXB01949

    • CF30 Customer (28 Dec 2012 to 10 Jul 2013)
  • Sanjay Gambhir

    IRN SXG02443

    • [FCA CF] Client dealing (9 Dec 2019 to 20 Dec 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Dec 2024)
    • CF30 Customer (23 Apr 2018 to 8 Dec 2019)
  • Thomas Brannigan

    IRN TXB00016

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (27 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (22 Mar 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.