For Sale: FCA-Authorized UK Financial Services Firm
A fully FCA-authorized financial services firm is now available for acquisition. Specializing in wealth management, securities trading, and investment advisory, this firm is structured for institutional and professional clients with a robust trading and compliance infrastructure.
The firm provides a stable financial services platform with room for strategic expansion under new ownership.
✅ Key Details
- Jurisdiction: United Kingdom
- FCA Authorization: Fully Regulated
- Client Base: Institutional & Professional Clients
- Employee Count: 7 (retention subject to discussion)
- Monthly Costs: ~£40,000
- Assets Under Management (AUM): $50 million
- Financial Performance: Current monthly losses ~£25,000
- Audited Financial Reports: Available at UK Companies House
Banking, Custody & Asset Management
- Operational Banking: Two UK banks
- Clearing House: Bond trading support
- Custody Arrangements:
- UK Custodian for client asset safekeeping
- Swiss Bank for external asset management
Technology & Compliance Infrastructure
- Advanced Compliance System – Streamlined onboarding & monitoring
- Automated Regulatory Reporting – Ensuring full FCA compliance
Authorized Financial Instruments
- Securities & Derivatives Trading – Equities, bonds, and structured products
- Commodities & Forex Derivatives – Cash & physically settled contracts
- CFDs & Credit Risk Transfers – Extensive derivatives permissions
Expansion Potential
Strategic Growth Opportunity – The firm offers scalability under new ownership Upgrade to Retail Services – New shareholders can apply for Change of Control & Variation of Permission (VoP) to expand into retail trading
Asking Price: Available upon request
