BACKHOUSE INDEPENDENT FINANCIAL SERVICES LIMITED

Date authorised
1 April 2013
Companies House
01140032
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Oakmount House
    7-9 Carrside
    Nelson
    Lancashire
    BB9 6RX
    UNITED KINGDOM
    Phone
    +4401282677776
    Web
    https://www.backhouseifs.co.uk

  • Complaints Contact

    Oakmount House
    7-9 Carrside
    Nelson
    Lancashire
    BB9 6RX
    UNITED KINGDOM
    Phone
    +4401282677776

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

    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.

  • Credit Brokering

  • 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.

  • Anouska Hamer

    IRN AXH01209

    • 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 9 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Jan 2025)
  • Christopher Robert Makin

    IRN CRM00008

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (15 Aug 2005 to 3 Jul 2006)
  • David Curley

    IRN DXC00065

    • CF10 Compliance Oversight (10 Sep 2008 to 12 Jun 2009)
    • CF11 Money Laundering Reporting (10 Sep 2008 to 12 Jun 2009)
    • CF30 Customer (1 Nov 2007 to 12 Jun 2009)
    • Responsible for Insurance Mediation (28 Apr 2005 to 12 Jun 2009)
    • CF1 Director (28 Sep 2004 to 12 Jun 2009)
    • CF21 Investment Adviser (5 Nov 2002 to 31 Oct 2007)
  • David Hannah

    IRN DXH01584

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 May 2024)
    • CF11 Money Laundering Reporting (18 Jul 2017 to 8 Dec 2019)
    • CF29 Significant management (23 Dec 2009 to 8 Dec 2019)
    • CF28 Systems and controls (23 Dec 2009 to 8 Dec 2019)
  • Graham Richard Tracey

    IRN GRT01048

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF3 Executive Director (since 2 Nov 2022)
    • Responsible for Insurance Distribution (since 2 Nov 2022)
    • SMF16 Compliance Oversight (since 2 Nov 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (17 Feb 2015 to 8 Dec 2019)
  • James David Freshney

    IRN JXF06636

    • [FCA CF] Functions requiring qualifications (16 May 2022 to 17 Oct 2025)
    • [FCA CF] Client dealing (16 May 2022 to 17 Oct 2025)
  • John Steven William Backhouse

    IRN JXB00539

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 May 2024)
    • SMF3 Executive Director (since 1 May 2024)
  • Jonathan Pitt

    IRN JXP00155

    • CF11 Money Laundering Reporting (1 Dec 2001 to 21 Jun 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 21 Jun 2002)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 21 Jun 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 21 Jun 2002)
    • CF1 Director (1 Dec 2001 to 21 Jun 2002)
  • Kathryn Margaret Whyatt

    IRN KMW00002

    • CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2002)
  • Leslie Herbert Whyatt

    IRN LHW00001

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2002)
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Recent activity

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

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