Date authorised
1 April 2013
Companies House
06150317
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    107 Cheapside
    London
    EC2V 6DN
    UNITED KINGDOM
    Phone
    +443452415347
  • Complaints Contact

    107 Cheapside
    London
    EC2V 6DN
    UNITED KINGDOM
    Phone
    +443452415347

What this firm is allowed to do

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

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, 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.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, 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.
  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, 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.
  • Investment Setup

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, 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.
  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alan James Easter

    IRN AJE01102

    • CF1 Director (14 Nov 2012 to 27 Sep 2013)
    • CF3 Chief Executive (14 Nov 2012 to 27 Sep 2013)
  • Andrew John Bennett

    IRN AJB00062

    • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2023)
    • CF1 Director (12 Mar 2012 to 8 Dec 2019)
    • CF3 Chief Executive (12 Mar 2012 to 13 Mar 2013)
  • Ashwin Gurung

    IRN AXG01052

    • 14. Managing investments
    • [FCA CF] Material risk taker (since 4 Jun 2025)
    • [FCA CF] Client dealing (since 4 Jun 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Jun 2025)
  • Christopher Earle Ayton

    IRN CEA01012

    • 14. Managing investments
    • [FCA CF] Material risk taker (since 7 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 7 Feb 2023)
    • [FCA CF] Client dealing (since 7 Feb 2023)
  • Clive Simon Goldthorpe

    IRN CSG01055

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Apr 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2021)
    • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2021)
    • CF30 Customer (6 Jul 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Jul 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Jul 2012 to 8 Dec 2019)
    • CF1 Director (6 Jul 2012 to 8 Dec 2019)
  • Cormac Nevin

    IRN CXN17877

    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 2 Mar 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
  • Darren William John Sharkey

    IRN DWS01044

    • SMF3 Executive Director (since 25 Apr 2023)
  • David John Ingram

    IRN DJI01030

    • CF2 Non Executive Director (6 Jul 2012 to 4 Dec 2015)
  • Derrick William Dunne

    IRN DWD01024

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF1 Director (27 Jun 2018 to 8 Dec 2019)
    • CF3 Chief Executive (27 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (27 Jun 2018 to 8 Dec 2019)
  • Dominic Williams

    IRN DXW02014

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 12 May 2025)
    • [FCA CF] Client dealing (since 12 May 2025)
    • [FCA CF] Material risk taker (since 12 May 2025)

Recent activity

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

No changes recorded yet.