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.

  • Richard James Escott

    IRN RXE01101

    • [FCA CF] Client dealing (9 Dec 2019 to 20 Jul 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Oct 2007)
  • Robin Kenneth Worden

    IRN RKW00007

    • CF21 Investment Adviser (2 Oct 2002 to 30 Nov 2002)
    • CF1 Director (2 Oct 2002 to 30 Nov 2002)
  • Sally Marie Key

    IRN SMP00020

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 5 Dec 2022)
    • SMF3 Executive Director (since 6 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (10 Oct 2011 to 8 Dec 2019)
  • Sara Louise Taylor

    IRN SLT00005

    • CF30 Customer (1 Nov 2007 to 6 Dec 2012)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Oct 2002)
  • Sean Alec Parker

    IRN SAP01108

    • CF30 Customer (21 Apr 2009 to 22 Dec 2010)
  • Shaun Matthew Jolly

    IRN SMJ00003

    • CF21 Investment Adviser (5 Jun 2003 to 1 Oct 2003)
  • Shaun Nigel Coleman

    IRN SNC00006

    • [FCA CF] Client dealing (9 Dec 2019 to 11 Dec 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Dec 2020)
    • CF30 Customer (7 May 2019 to 8 Dec 2019)
  • Trevor Glyn Thomas

    IRN TGT00001

    • CF21 Investment Adviser (2 Oct 2002 to 31 Jan 2004)
    • CF24 Pension Transfer Specialist (2 Oct 2002 to 31 Jan 2004)
  • Tristan James Starling

    IRN TJS01189

    • CF30 Customer (27 Aug 2015 to 16 Feb 2018)
  • Victoria Joan Charles

    IRN VJC01014

    • CF21 Investment Adviser (9 Feb 2005 to 9 Jul 2007)
    • CF22 Investment Adviser (Trainee) (18 Nov 2003 to 9 Feb 2005)

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.