Tier One Capital Ltd

Date authorised
1 April 2013
Companies House
07979654
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Wizu Workspace
    Portland House
    New Bridge Street West
    Newcastle Upon Tyne
    NE1 8AL
    UNITED KINGDOM
    Phone
    +4401912220099
    Web
    https://www.tieronecapital.co.uk

  • Complaints Contact

    Wizu Workspace
    Portland House
    New Bridge Street West
    Newcastle Upon Tyne
    NE1 8AL
    UNITED KINGDOM
    Phone
    +4401912220099

What this firm is allowed to do

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

  • 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 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • 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, 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), 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.

  • 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, 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), 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.

  • Credit Brokering

  • Debt Negotiation

    Show 1 limitation
    • · This permission is limited to debt adjusting with no debt management activity

  • Debt Plan Admin

  • Debt Advice

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

  • 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, 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), 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.

  • Brendan O'Grady

    IRN BXO00026

    • [FCA CF] Significant management (since 9 Dec 2019)
  • Bryan Harvey Irving

    IRN BHI01000

    • CF2 Non Executive Director (27 Jul 2015 to 12 Apr 2016)
  • Daniel Barnes

    IRN DXB01485

    • CF30 Customer (2 Jun 2015 to 5 Jan 2016)
  • Emma Louise Black

    IRN ELB01073

    • CF30 Customer (1 Oct 2014 to 28 Jun 2018)
  • Graeme John Potts

    IRN GJP01113

    • CF2 Non Executive Director (22 Jul 2015 to 24 Feb 2016)
  • Ian Michael McElroy

    IRN IMM01049

    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 7 Jun 2019)
    • CF30 Customer (28 Feb 2013 to 8 Dec 2019)
    • CF1 Director (28 Feb 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Feb 2013 to 2 Aug 2016)
    • CF10 Compliance Oversight (28 Feb 2013 to 2 Aug 2016)
  • Jessica Swindells

    IRN JXS03588

    • SMF16 Compliance Oversight (since 8 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jun 2023)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 Dec 2017 to 8 Dec 2019)
  • Marcus Trevor Richards

    IRN MXR06131

    • CF2 Non Executive Director (26 Sep 2018 to 8 Dec 2019)
  • Mark Andrew Chappell

    IRN MXC16091

    • [FCA CF] Client dealing (9 Dec 2019 to 23 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Oct 2023)
  • Michael Carrick

    IRN MXC00171

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2024)
    • CF30 Customer (8 Oct 2019 to 8 Dec 2019)
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Recent activity

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

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