Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
Oriel Chambers14 Water StreetLiverpoolMerseysideL2 8TDUNITED KINGDOM- Phone
- +4401517087616
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Complaints Contact
Oriel Chambers14 Water StreetLiverpoolMerseysideL2 8TDUNITED KINGDOM- Phone
- +4401517087616
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Buy-to-Let Mortgage Advice
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Buy-to-Let Mortgage Arranging
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P2P Lending Advice
For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)
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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
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- · 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.
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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 Hide limitations
- · 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.
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Mortgage Advice
For Customer, Regulated mortgage contract
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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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 Hide limitations
- · 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.
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Mortgage Arranging
For Customer, Regulated mortgage contract
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Buy-to-Let Start Date
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Buy-to-Let Status
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Credit Brokering
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Debt Advice
Show 1 limitation Hide limitations
- · This permission is limited to debt counselling with no debt management activity
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Mortgage Setup
For Customer, Regulated mortgage contract
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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 Hide limitations
- · 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.
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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Robert Beattie
IRN RXB01949
- CF30 Customer (28 Dec 2012 to 10 Jul 2013)
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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)
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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.