Alan Boswell & Company Limited

Date authorised
1 April 2013
Companies House
04379208
Last scraped
3 weeks ago
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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.

  • Christopher Howard

    IRN CXH01560

    • CF30 Customer (1 Nov 2007 to 18 Feb 2014)
    • CF21 Investment Adviser (6 Jul 2006 to 31 Oct 2007)
  • Christopher John Gibbs

    IRN CJG00051

    • SMF3 Executive Director (9 Dec 2019 to 7 Nov 2024)
    • CF1 Director (AR) (1 Jul 2011 to 7 Nov 2024)
    • CF1 Director (20 Dec 2005 to 8 Dec 2019)
  • Daniel Richard Baron

    IRN DRB01147

    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • David Edward Perry

    IRN DEP01053

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2023)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Aug 2023)
    • CF30 Customer (1 Nov 2007 to 1 Sep 2023)
    • CF21 Investment Adviser (17 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 May 2007 to 17 Oct 2007)
    • CF24 Pension Transfer Specialist (8 May 2007 to 31 Oct 2007)
  • David Nigel Clarkson

    IRN DNC00007

    • CF21 Investment Adviser (2 Oct 2002 to 9 Jun 2006)
  • Edward Nicholas Drew

    IRN END00002

    • CF1 Director (AR) (1 Jul 2011 to 31 Oct 2016)
    • CF1 Director (2 Oct 2002 to 31 Oct 2016)
  • Gary Neil Steward

    IRN GNS00013

    • CF8 Apportionment and Oversight (2 Oct 2002 to 19 Dec 2005)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Mar 2006)
    • CF24 Pension Transfer Specialist (2 Oct 2002 to 31 Mar 2006)
    • CF1 Director (2 Oct 2002 to 31 Mar 2006)
  • Gillian Suzanne Anderson Brown

    IRN GSA01038

    • SMF3 Executive Director (9 Dec 2019 to 7 Nov 2024)
    • CF1 Director (15 Oct 2015 to 8 Dec 2019)
  • Graham Scott Cox

    IRN GSC01083

    • CF30 Customer (29 Apr 2009 to 3 Sep 2010)
  • Gregory Wayne Persinger

    IRN GWP00020

    • CF30 Customer (1 Nov 2007 to 17 Oct 2008)
    • CF21 Investment Adviser (1 Nov 2004 to 31 Oct 2007)
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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.

No changes recorded yet.