Baron & Grant Investment Management Limited

• Principal Place of Business

  12A Main Street

  Rosliston

  Swadlincote

  Derbyshire

  DE12 8JW

  UNITED KINGDOM

  Phone

  +441283387070

  Web

  https://www.baronandgrant.com

• Complaints Contact

  12A Main Street

  Rosliston

  Swadlincote

  Derbyshire

  DE12 8JW

  UNITED KINGDOM

  Phone

  +441283387070

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Eligible Counterparty, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Adam Alden

  IRN AXA00455

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 22 Mar 2023)
  • Appointed representative dealing with clients for which they require qualification (since 22 Mar 2023)
  • CF30 Customer (since 3 Mar 2023)
• Bobinder Singh Nahal

  IRN BSN00008

  • CF30 Customer (3 Mar 2023 to 3 Mar 2023)
• Christopher Iain Grant

  IRN CIG01005

  • 14. Managing investments
  • [FCA CF] Client dealing (since 4 Jan 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2021)
  • SMF16 Compliance Oversight (since 4 Jan 2021)
  • SMF1 Chief Executive (since 4 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
• Harvey Richard Hosein

  IRN HXH00212

  • 14. Managing investments
  • 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] Functions requiring qualifications (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 1 Apr 2023)
• John Charles Baron

  IRN JXB00351

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 4 Jan 2021)
• Mark Johnson

  IRN MXJ01349

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • CF30 Customer (since 22 Mar 2023)
  • CF1 Director (AR) (since 22 Mar 2023)
  • Appointed representative dealing with clients for which they require qualification (since 22 Mar 2023)
  • [FCA CF] Client dealing (since 4 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
• Owen Randall

  IRN OXR00100

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Apr 2026)
  • [FCA CF] Client dealing (since 9 Apr 2026)
• Thomas Poynton

  IRN TXP91972

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • Responsible for Insurance Distribution (since 4 Apr 2023)
  • Responsibility for MCD Intermediation (since 3 Apr 2023)
  • SMF3 Executive Director (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 4 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • [FCA CF] Manager of certification employee (since 4 Jan 2021)

• Integritas Financial Planners Limited

  FRN 623126 · Appointed 1 Mar 2023

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