A E THOMSON LIMITED

• Principal Place of Business

  62b High Street

  Sutton

  Ely

  Cambridgeshire

  CB6 2RA

  UNITED KINGDOM

  Phone

  +4401353778738

  Web

  https://www.aethomson.com

• Complaints Contact

  62b High Street

  Sutton

  Ely

  Cambridgeshire

  CB6 2RA

  UNITED KINGDOM

  Phone

  +4401353778738

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• Investment Advice (no pensions)

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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.

• Credit Score Services

• Adam Nicholas Nunn

  IRN AXN00130

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 5 Sep 2022)
  • [FCA CF] Client dealing (5 Sep 2022 to 6 Sep 2022)
• Jonathan Barrie Porter

  IRN JXP00383

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2024)
• Keith William Boyall

  IRN KWB00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Sep 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 10 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 10 Sep 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Sep 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Sep 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (14 Apr 2004 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (14 Apr 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (14 Apr 2004 to 31 Oct 2007)
  • CF1 Director (14 Apr 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (14 Apr 2004 to 31 Mar 2009)
• Mark Gordon

  IRN MXG00138

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Apr 2004 to 31 Oct 2007)
• Martin James Setchell

  IRN MJS01328

  • 9A. Advising on P2P agreements
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 1 Mar 2021)
  • SMF3 Executive Director (since 1 Mar 2021)
  • [FCA CF] Client dealing (since 1 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2021)
• Melvyn Martell

  IRN MGM00002

  • CF30 Customer (1 Nov 2007 to 24 Jan 2011)
  • Responsible for Insurance Mediation (14 Jan 2005 to 24 Jan 2011)
  • CF24 Pension Transfer Specialist (14 Apr 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (14 Apr 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (14 Apr 2004 to 24 Jan 2011)
  • CF10 Compliance Oversight (14 Apr 2004 to 24 Jan 2011)
  • CF1 Director (14 Apr 2004 to 24 Jan 2011)
• Nigel Darren Smith

  IRN NDS00023

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 27 Apr 2016)
  • Responsible for Insurance Mediation (3 Apr 2012 to 30 Sep 2018)
  • CF10 Compliance Oversight (3 Mar 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Mar 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (22 Feb 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Apr 2004 to 31 Oct 2007)

No changes recorded yet.