Date authorised
4 April 2016
Companies House
09081916
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    130 Jermyn Street
    London
    SW1Y 4UR
    UNITED KINGDOM
    Phone
    +442071235200
  • Complaints Contact

    130 Jermyn Street
    London
    SW1Y 4UR
    UNITED KINGDOM
    Phone
    +442071235200

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, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.
  • Retail Investment Funds

  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

  • James Luya Rowsell

    IRN JLR01042

    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2020)
    • SMF3 Executive Director (9 Dec 2019 to 23 Sep 2024)
    • CF30 Customer (15 Mar 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Apr 2016 to 21 Dec 2018)
    • CF1 Director (4 Apr 2016 to 8 Dec 2019)
    • CF3 Chief Executive (4 Apr 2016 to 21 Dec 2018)
  • James Mann

    IRN JBM01040

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Manager of certification employee (since 1 Dec 2020)
    • CF30 Customer (15 Mar 2019 to 8 Dec 2019)
  • Jason Staite

    IRN JXS00652

    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • John Cowper-Coles

    IRN JPC01092

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Manager of certification employee (since 1 Dec 2020)
    • CF30 Customer (10 Apr 2019 to 8 Dec 2019)
  • Julia Gallop

    IRN JXG00336

    • [FCA CF] Significant management (1 Dec 2020 to 1 Aug 2025)
  • Julie Phillips

    IRN JXP00407

    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Manager of certification employee (since 1 Dec 2020)
    • [FCA CF] Significant management (since 1 Dec 2020)
  • Louise Tyrell

    IRN LXT00108

    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
  • Michael Allen

    IRN MXA02156

    • SMF3 Executive Director (since 9 Apr 2026)
  • Michael Couldridge

    IRN MXC00513

    • [FCA CF] Significant management (since 1 Dec 2020)
  • Michael Norman Colin Kerr-Dineen

    IRN MNK01005

    • SMF9 Chair of the Governing Body (23 Jan 2020 to 1 Jul 2022)
    • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2022)
    • CF1 Director (13 Dec 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.