Barratt & Cooke Limited

• Principal Place of Business

  5 Opie Street

  Norwich

  Norfolk

  NR1 3DW

  UNITED KINGDOM

  Phone

  +4401603624236

  Web

  https://www.barrattandcooke.co.uk

• Complaints Contact

  5 Opie Street

  Norwich

  Norfolk

  NR1 3DW

  UNITED KINGDOM

  Phone

  +4401603624236

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Harry James Anthony Dodds

  IRN HXD07545

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Feb 2019 to 8 Dec 2019)
• Hayley Louise Cooper

  IRN HLL01006

  • CF30 Customer (1 Nov 2007 to 5 Jan 2009)
  • CF26 Customer Trading (1 Apr 2005 to 31 Oct 2007)
• James Daryl Hambro

  IRN JDH01067

  • CF2 Non Executive Director (1 Apr 2005 to 23 Mar 2012)
• James Michael Hunter

  IRN JXH02863

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Apr 2016 to 8 Dec 2019)
• Jonathan Robert Barclay

  IRN JRB01248

  • CF2 Non Executive Director (1 Apr 2005 to 31 Mar 2014)
• Kim Uzzell

  IRN KGM01019

  • CF30 Customer (1 Sep 2008 to 7 Mar 2018)
• Malcolm James Hardesty

  IRN MXH00526

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Martin James Dack

  IRN MJD01382

  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 31 May 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (25 Jan 2010 to 8 Dec 2019)
• Martin Kenneth Warren

  IRN MKW01015

  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • CF10 Compliance Oversight (1 Apr 2005 to 11 Jan 2012)
  • CF11 Money Laundering Reporting (1 Apr 2005 to 29 Feb 2016)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
  • CF1 Director (1 Apr 2005 to 1 Apr 2016)
• Merryn Rose Brodie

  IRN MRB01268

  • CF30 Customer (29 Jan 2014 to 15 Aug 2017)

No changes recorded yet.