Date authorised
1 April 2013
Companies House
OC302614
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Gaumont, Level 2a
    204 King's Road
    London
    Kensington And Chelsea
    SW3 5XP
    UNITED KINGDOM
    Phone
    +442070468530
  • Complaints Contact

    The Gaumont Level 2a
    204 King's Road
    London
    Kensington And Chelsea
    SW3 5XP
    UNITED KINGDOM
    Phone
    +4402070468520

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.
  • Specialist Investment Funds

  • 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.

  • Chris Mader

    IRN CXM01755

    • CF30 Customer (1 Nov 2007 to 1 Apr 2010)
    • CF11 Money Laundering Reporting (2 Apr 2007 to 1 Apr 2010)
    • CF10 Compliance Oversight (2 Apr 2007 to 1 Apr 2010)
    • CF27 Investment Management (2 Aug 2006 to 31 Oct 2007)
  • Christopher Fitzwilliam-Lay

    IRN CXF01077

    • [FCA CF] Client dealing (29 May 2020 to 31 Oct 2021)
  • Dale Melvyn Briscoe

    IRN DMB01124

    • CF30 Customer (12 Dec 2016 to 21 Mar 2018)
  • David James Ker Turnbull

    IRN DJT01149

    • CF4 Partner (28 Nov 2007 to 12 Aug 2008)
    • CF26 Customer Trading (5 Mar 2004 to 31 May 2006)
    • CF10 Compliance Oversight (6 Feb 2003 to 31 May 2006)
    • CF11 Money Laundering Reporting (6 Feb 2003 to 31 May 2006)
  • David Lincoln Robinson

    IRN DLR01027

    • SMF27 Partner (9 Dec 2019 to 9 Sep 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2021)
    • CF11 Money Laundering Reporting (13 Dec 2010 to 4 Jul 2012)
    • CF10 Compliance Oversight (5 May 2010 to 4 Jul 2012)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Apr 2007 to 31 Oct 2007)
    • CF3 Chief Executive (25 Apr 2007 to 3 Apr 2012)
    • CF4 Partner (28 Jan 2003 to 8 Dec 2019)
    • CF27 Investment Management (28 Jan 2003 to 31 Oct 2007)
  • David Mitchinson

    IRN DXM02887

    • SMF27 Partner (since 5 Aug 2022)
    • [FCA CF] Client dealing (since 18 Sep 2020)
  • Epiphanios Michael

    IRN EXM01334

    • CF30 Customer (12 Nov 2007 to 6 Jan 2009)
  • Fotos Peleties

    IRN FXP01156

    • CF30 Customer (10 Jan 2011 to 7 Jun 2012)
  • Grant Robert Flanagan

    IRN GRF01046

    • CF30 Customer (28 May 2015 to 8 Jul 2016)
  • Hugh Robin Hunter

    IRN HRH01004

    • SMF27 Partner (9 Dec 2019 to 15 Nov 2022)
    • SMF1 Chief Executive (9 Dec 2019 to 31 May 2022)
    • CF30 Customer (21 Jan 2013 to 8 Dec 2019)
    • CF3 Chief Executive (6 Dec 2011 to 8 Dec 2019)
    • CF4 Partner (6 Dec 2011 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.