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.

  • Ian Christopher Roberts

    IRN ICR00004

    • CF30 Customer (25 Jan 2023 to 29 Sep 2023)
    • CF1 Director (AR) (25 Jan 2023 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)
  • Ian Leslie Payter

    IRN ILP00005

    • CF1 Director (13 Dec 2005 to 31 Mar 2008)
  • James Malt

    IRN JXM01796

    • CF30 Customer (1 Nov 2007 to 26 Dec 2008)
    • CF21 Investment Adviser (2 Jul 2004 to 31 Oct 2007)
  • Jane Melissa Hudson

    IRN JMH01345

    • CF30 Customer (19 Sep 2011 to 28 Nov 2014)
  • Jeffrey Wilson

    IRN JXW00293

    • CF30 Customer (1 Nov 2007 to 10 May 2017)
    • CF24 Pension Transfer Specialist (15 Feb 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (7 Jun 2006 to 31 Oct 2007)
  • Jeremy Stuart Gray

    IRN JSG00030

    • CF21 Investment Adviser (2 Oct 2002 to 4 Jul 2006)
    • CF24 Pension Transfer Specialist (2 Oct 2002 to 4 Jul 2006)
  • Jill Shirley Pullin

    IRN JXP00144

    • CF30 Customer (1 Nov 2007 to 3 Oct 2012)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Oct 2007)
  • John Frederick Wake

    IRN JFW00003

    • CF30 Customer (1 Nov 2007 to 6 Dec 2012)
    • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Oct 2007 to 31 Oct 2007)
  • John Norman Pullin

    IRN JXP00145

    • 11. Pension transfer specialist
    • 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
    • Responsible for Insurance Distribution (since 5 Jan 2023)
    • SMF16 Compliance Oversight (since 5 Jan 2023)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (AR) (since 29 Jun 2011)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (15 Dec 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Dec 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Oct 2002 to 31 Oct 2007)
  • John Whitehead

    IRN JXW01439

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Dec 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2025)
    • SMF3 Executive Director (9 Dec 2019 to 7 Oct 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Dec 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Oct 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Oct 2022)
    • CF1 Director (AR) (6 Jul 2011 to 7 Oct 2022)
    • CF30 Customer (1 Nov 2007 to 7 Oct 2022)
    • CF8 Apportionment and Oversight (15 Dec 2005 to 1 Nov 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Oct 2002 to 8 Dec 2019)
    • CF1 Director (2 Oct 2002 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2002 to 15 Dec 2005)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Oct 2007)
Show more

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.