Alan Boswell & Company Limited

Date authorised
1 April 2013
Companies House
04379208
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Prospect House
    Rouen Road
    Norwich
    Norfolk
    NR1 1RE
    UNITED KINGDOM
    Phone
    +4401603218000
    Web
    https://www.alanboswell.com

  • Complaints Contact

    Prospect House
    Rouen Road
    Norwich
    NR1 1RE
    UNITED KINGDOM
    Phone
    +4401603218000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    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 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

    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

    For Professional, Retail (Investment)

    Show 1 limitation
    • · 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, Structured Deposits, 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.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management 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, Structured Deposits, 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.

  • Adam Jonathon Revell

    IRN AJR01307

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (27 Oct 2006 to 31 Oct 2007)
  • Alan Charles Boswell

    IRN ACB00055

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF3 Chief Executive (AR) (since 24 Jun 2011)
    • CF1 Director (AR) (since 24 Jun 2011)
    • CF3 Chief Executive (10 Apr 2017 to 8 Dec 2019)
    • CF1 Director (2 Oct 2002 to 8 Dec 2019)
  • Alastair Fitzroy Drew

    IRN AFD01055

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 31 Oct 2016)
    • CF1 Director (15 Oct 2015 to 8 Dec 2019)
  • Amanda Mallett

    IRN AXM01701

    • CF24 Pension Transfer Specialist (2 Oct 2002 to 30 Jun 2004)
    • CF21 Investment Adviser (2 Oct 2002 to 30 Jun 2004)
  • Antony Warren Robinson

    IRN AWR01032

    • 11. Pension transfer specialist
    • 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] Manager of certification employee (since 5 Dec 2022)
    • SMF3 Executive Director (since 6 Jul 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (16 Jul 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Apr 2004 to 16 Jul 2004)
  • Benjamin Karl Hewitt

    IRN BKH00019

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (9 Jan 2018 to 8 Dec 2019)
  • Bernard David Whitbourn

    IRN BDW00002

    • CF30 Customer (6 Dec 2022 to 29 Sep 2023)
    • CF1 Director (AR) (6 Dec 2022 to 29 Sep 2023)
    • Appointed representative dealing with clients for which they require qualification (5 Dec 2022 to 5 Oct 2023)
    • [FCA CF] Functions requiring qualifications (5 Dec 2022 to 14 Jun 2024)
    • [FCA CF] Client dealing (5 Dec 2022 to 14 Jun 2024)
  • Brendan Christopher James Tinney

    IRN BXT00439

    • 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 26 Mar 2024)
    • [FCA CF] Functions requiring qualifications (since 26 Mar 2024)
  • Calum Stuart O'Donnell

    IRN CSO01024

    • 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)
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 12 Jun 2019)
  • Christopher Holmes

    IRN CLH01053

    • CF30 Customer (5 Jul 2011 to 5 Jan 2015)
    • CF1 Director (AR) (5 Jul 2011 to 5 Jan 2015)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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