Barnes & Sherwood Professional Advisers Limited

• Principal Place of Business

  1 King William Street

  London

  City Of London

  EC4N 7AF

  UNITED KINGDOM

  Phone

  +4402074743700

  Web

  https://www.barnsher.co.uk

• Complaints Contact

  1 King William Street

  London

  City Of London

  EC4N 7AF

  UNITED KINGDOM

  Phone

  +4402074743700

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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, 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, 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.

• Insurance Admin

  For Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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, 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.

• . Kathure Limited

  IRN XXK01047

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (3 Oct 2011 to 8 Dec 2019)
• . S&D McRae Services Limited

  IRN XXS01171

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (3 Oct 2011 to 8 Dec 2019)
• Adam Sluman

  IRN AXS00680

  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Nov 2022)
  • [FCA CF] Manager of certification employee (since 28 Nov 2022)
  • [FCA CF] Client dealing (since 28 Nov 2022)
• Adrian James Kemp

  IRN AJK01108

  • [PRA CF] Key function holder (since 2 Jan 2020)
  • [FCA CF] Significant management (since 2 Jan 2020)
  • [FCA CF] CASS oversight function (since 2 Jan 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (18 Mar 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Mar 2016 to 8 Dec 2019)
  • CF30 Customer (3 Oct 2011 to 31 Dec 2012)
  • CF1 Director (3 Oct 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Oct 2011 to 30 Sep 2018)
• Cavan James Beck

  IRN CXB00554

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] CASS oversight function (since 1 Jul 2025)
  • [FCA CF] Manager of certification employee (since 1 Jul 2025)
  • [PRA CF] Key function holder (since 1 Jul 2025)
  • [FCA CF] Client dealing (since 1 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2022)
• Charles Jack Goodman

  IRN CJG01150

  • CF30 Customer (28 Oct 2011 to 30 Apr 2012)
• Courtney Margaret Beaven

  IRN CXB00854

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
  • [PRA CF] Key function holder (since 1 Jul 2025)
• Katie Elizabeth Hately

  IRN KET01026

  • CF30 Customer (12 Oct 2015 to 8 Dec 2019)
• Stewart Edward McRae

  IRN SEM01115

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] CASS oversight function (since 2 Jan 2020)
  • [FCA CF] Client dealing (since 2 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Jan 2020)
  • [FCA CF] Significant management (since 2 Jan 2020)
  • [PRA CF] Key function holder (since 2 Jan 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (3 Oct 2011 to 8 Dec 2019)
  • CF1 Director (3 Oct 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
• Zuzana Bundova

  IRN ZXB00071

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [PRA CF] Key function holder (since 1 Jul 2025)
  • [FCA CF] Client dealing (since 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)

No changes recorded yet.