Thomas Miller Investment Ltd.

Date authorised
1 April 2013
Companies House
02187502
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    90 Fenchurch Street
    London
    EC3M 4ST
    UNITED KINGDOM
    Phone
    +4402072042020
    Web
    https://tminvestment.com

  • Complaints Contact

    90 Fenchurch Street
    London
    EC3M 4ST
    UNITED KINGDOM
    Phone
    +4402072042020

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • Jonathan Michael Goldthorpe

    IRN JMG01179

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Jun 2021)
    • CF2 Non Executive Director (21 Oct 2010 to 8 Dec 2019)
  • Keith Henry Burton Allen

    IRN KXA88626

    • SMF3 Executive Director (since 3 Dec 2020)
  • Kieran Halpenny

    IRN KXH01230

    • CF10 Compliance Oversight (30 Oct 2015 to 22 Feb 2016)
    • CF11 Money Laundering Reporting (30 Oct 2015 to 22 Feb 2016)
  • Kim Elizabeth Vernau

    IRN KEV00003

    • CF1 Director (7 Apr 2005 to 12 Sep 2008)
  • Marc Hendriks

    IRN MXH01340

    • CF30 Customer (1 Nov 2007 to 10 Dec 2008)
    • CF21 Investment Adviser (28 Feb 2007 to 31 Oct 2007)
    • CF1 Director (19 Jun 2003 to 10 Dec 2008)
    • CF27 Investment Management (19 Jun 2003 to 31 Oct 2007)
  • Mark Alexander James McKenzie

    IRN MAM01370

    • SMF3 Executive Director (since 23 Aug 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (14 Sep 2012 to 8 Dec 2019)
  • Matthew John Lonsdale

    IRN MJL01200

    • CF30 Customer (21 Jun 2013 to 13 Jul 2015)
  • Michael Warren Balfour

    IRN MWB01046

    • CF3 Chief Executive (11 Nov 2010 to 1 Feb 2016)
    • CF1 Director (28 Jul 2009 to 1 Feb 2016)
    • CF30 Customer (28 Jul 2009 to 1 Feb 2016)
  • Mostafa Aly Rady

    IRN MAR01106

    • CF30 Customer (1 Nov 2007 to 31 Aug 2012)
    • CF21 Investment Adviser (28 Feb 2007 to 31 Oct 2007)
    • CF1 Director (22 Feb 2005 to 31 Aug 2012)
    • CF27 Investment Management (22 Feb 2005 to 31 Oct 2007)
  • Neill Hutchinson Dunmore

    IRN NHD01013

    • CF30 Customer (28 Aug 2009 to 2 Apr 2012)
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Recent activity

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

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