Alexander Bates Campbell Financial Planning Limited

• Principal Place of Business

  13 Starrs Mead

  Battle

  East Sussex

  TN33 0UB

  UNITED KINGDOM

  Phone

  +447545697473

  Web

  https://www.abc-ifa.com

• Complaints Contact

  13 Starrs Mead

  Battle

  East Sussex

  TN33 0UB

  UNITED KINGDOM

  Phone

  +447545697473

• 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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, 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation 'debt management plans' is defined as: 'a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders'

• 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 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.

• Christine Ann Alexander

  IRN CAA01088

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Mar 2019 to 8 Dec 2019)
• Ian James Collier

  IRN IJC01054

  • CF30 Customer (15 Jun 2022 to 4 Oct 2024)
  • [FCA CF] Functions requiring qualifications (13 May 2022 to 4 Oct 2024)
  • Appointed representative dealing with clients for which they require qualification (13 May 2022 to 4 Oct 2024)
  • [FCA CF] Client dealing (13 May 2022 to 4 Oct 2024)
• Lynne Campbell-Baker

  IRN LXC00058

  • 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)
  • CF1 Director (AR) (since 29 Apr 2021)
  • CF30 Customer (since 29 Apr 2021)
  • Appointed representative dealing with clients for which they require qualification (since 1 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
• Martyn Lawson Bates

  IRN MLB01064

  • 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)
  • CF1 Director (AR) (since 29 Apr 2021)
  • CF30 Customer (since 29 Apr 2021)
  • Appointed representative dealing with clients for which they require qualification (since 1 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
• Nigel Richard King

  IRN NRK01026

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • CF30 Customer (since 6 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 21 Jun 2021)
  • [FCA CF] Client dealing (since 21 Jun 2021)
• Richard Alexander

  IRN RXA00046

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Mar 2019)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 11 Mar 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 11 Mar 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 11 Mar 2021)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 11 Mar 2021)
  • [PRA CF] Key function holder (9 Dec 2019 to 11 Mar 2021)
  • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 11 Mar 2021)
  • CF10 Compliance Oversight (1 Mar 2019 to 8 Dec 2019)
  • CF1 Director (1 Mar 2019 to 8 Dec 2019)
  • CF30 Customer (1 Mar 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Mar 2019 to 8 Dec 2019)

• Alexander Bates Campbell Ltd

  FRN 522399 · Appointed 24 Mar 2021

No changes recorded yet.