Date authorised
1 April 2013
Companies House
02405923
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    42 New Broad Street
    London
    EC2M 1JD
    UNITED KINGDOM
    Phone
    +4402030055000
  • Complaints Contact

    42 New Broad Street
    London
    EC2M 1JD
    UNITED KINGDOM
    Phone
    +4402030055000

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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, 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, Retail (Investment), Certificates representing certain security, Debenture, 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, 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, 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, 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.

  • Peter Claes Mattsson

    IRN PXM09913

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
    • CF30 Customer (4 Jan 2019 to 8 Dec 2019)
  • Peter Colin Murray Joy

    IRN PCJ01014

    • CF10 Compliance Oversight (4 Apr 2011 to 29 Jun 2012)
    • CF1 Director (18 Nov 2010 to 29 Jun 2012)
    • CF11 Money Laundering Reporting (18 Nov 2010 to 29 Jun 2012)
    • CF30 Customer (2 Jul 2010 to 9 Mar 2011)
  • Peter Jad Damouni

    IRN PJD01174

    • CF29 Significant management (1 Aug 2011 to 29 Nov 2013)
    • CF30 Customer (31 Jan 2011 to 29 Nov 2013)
  • Philip Andrew Smith

    IRN PAS01169

    • [FCA CF] Client dealing (since 20 Jan 2020)
  • Ramsey Khalil Kardouche

    IRN RKK01017

    • CF30 Customer (2 Mar 2015 to 22 Sep 2016)
  • Raymond Paul Backhouse

    IRN RPB01061

    • CF30 Customer (1 Nov 2007 to 23 Jul 2010)
    • CF11 Money Laundering Reporting (12 Jun 2007 to 23 Jul 2010)
    • CF23 Corporate Finance Adviser (12 Jun 2007 to 31 Oct 2007)
  • Richard Arthur Lockwood

    IRN RAL01067

    • CF1 Director (1 Dec 2001 to 11 Dec 2001)
    • CF21 Investment Adviser (1 Dec 2001 to 11 Dec 2001)
  • Richard David Buckle

    IRN RDB01166

    • CF30 Customer (12 Jun 2015 to 14 Mar 2016)
  • Richard Downard

    IRN RXD01137

    • CF30 Customer (19 Nov 2012 to 1 May 2013)
  • Richard James Deathe

    IRN RJD01224

    • CF30 Customer (14 May 2015 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.