Advance Investments Limited

• Principal Place of Business

  Courtyard Mews

  Piccadilly House

  London Road

  Bath

  Avon

  BA1 6PL

  UNITED KINGDOM

  Phone

  +4401225338600

  Web

  https://www.advanceinvestments.com

• Complaints Contact

  Courtyard Mews

  Piccadilly Place

  London Road

  Bath

  Somerset

  BA1 6PL

  UNITED KINGDOM

  Phone

  +4401225338600

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Commercial, Professional, 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.

• 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, Professional, 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, 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.

• Investment Setup

  For Commercial, Professional, 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, 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.

• Alan Charles Grout

  IRN ACG00020

  • CF1 Director (1 Dec 2001 to 4 Apr 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 4 Apr 2003)
• Alastair Keith Sutton

  IRN AKS00027

  • CF21 Investment Adviser (28 May 2002 to 23 Jul 2004)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 May 2002)
• Benjamin Gerard Cundy

  IRN BGC00001

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (12 Nov 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 27 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• David Lyndon Chasemore

  IRN DLC00001

  • CF30 Customer (1 Nov 2007 to 1 Nov 2010)
  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Nov 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Nov 2010)
  • CF1 Director (1 Dec 2001 to 17 Mar 2011)
  • CF3 Chief Executive (1 Dec 2001 to 1 Nov 2010)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Gary Nicholas Yeates

  IRN GNY01004

  • CF21 Investment Adviser (12 Jul 2002 to 7 Feb 2003)
• Joanne Richings

  IRN JXR02389

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (30 Aug 2017 to 8 Dec 2019)
• John Allden White

  IRN JAW01200

  • CF30 Customer (17 Apr 2012 to 29 May 2015)
• Jonathan David Mainstone

  IRN JDM01254

  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• Keith Michael Ayres

  IRN KMA00003

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (15 Jan 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Malcolm Charles Terry

  IRN MCT00017

  • CF21 Investment Adviser (1 Dec 2001 to 7 Feb 2003)

• Lyndon Investments (Leicester) Limited (no longer appointed)

  FRN 206219 · Appointed 29 Jun 2001 · Until 11 Feb 2003

No changes recorded yet.