Date authorised
1 April 2013
Companies House
OC324303
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    120 Pall Mall
    London
    SW1Y 5EA
    UNITED KINGDOM
    Phone
    +442074401600
  • Complaints Contact

    120 Pall Mall
    London
    SW1Y 5EA
    UNITED KINGDOM
    Phone
    +442074401600

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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.

  • Jeffrey David Capp

    IRN JDC01176

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (9 Dec 2016 to 8 Dec 2019)
  • Jeremy Andrew Ogilvie Graham

    IRN JAG01178

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2022)
    • CF30 Customer (10 Apr 2017 to 8 Dec 2019)
  • Julian Peter Cary Edwards

    IRN JPE01019

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (2 Jul 2007 to 8 Dec 2019)
    • CF27 Investment Management (2 Jul 2007 to 31 Oct 2007)
    • CF3 Chief Executive (2 Jul 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jul 2007 to 31 Mar 2009)
  • Melissa Charlotte Victoria Learmond

    IRN MXH01365

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Jan 2025)
    • CF4 Partner (26 Nov 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (13 Sep 2007 to 31 Oct 2007)
  • Michael George Boot

    IRN MGB01132

    • CF30 Customer (26 Mar 2009 to 19 Apr 2010)
  • Nicholas Alexander Davey

    IRN NAD01071

    • [FCA CF] Client dealing (since 17 Mar 2025)
  • Nigel James Tregear

    IRN NJT01029

    • CF30 Customer (1 Nov 2007 to 19 Apr 2010)
    • CF27 Investment Management (2 Oct 2007 to 31 Oct 2007)
    • CF4 Partner (2 Oct 2007 to 19 Apr 2010)
    • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
  • Pooi Yee Yong

    IRN PYY01002

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (19 Aug 2014 to 8 Dec 2019)
  • Richard Oliver Waldron

    IRN ROW01008

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
  • Robert Andrew Klugman

    IRN RAK01031

    • [FCA CF] Client dealing (since 6 Oct 2025)
    • CF30 Customer (1 Nov 2007 to 29 Jan 2016)
    • CF4 Partner (2 Jul 2007 to 1 Apr 2015)
    • CF27 Investment Management (2 Jul 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.