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.

• Miles Piercy

  IRN MXP01267

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Material risk taker (since 31 Mar 2025)
  • 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)
  • CF11 Money Laundering Reporting (29 Feb 2016 to 8 Dec 2019)
  • CF1 Director (1 Apr 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
• Nathan Corden

  IRN NXC00272

  • [FCA CF] Client dealing (5 Jul 2022 to 8 May 2025)
• Nicholas David Burrows

  IRN NXB00228

  • 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 10 Jan 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Nigel Rudolph Savory

  IRN NRS01099

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Apr 2018 to 8 Dec 2019)
• Paul Robert Thomas Pearce

  IRN PRP01045

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Material risk taker (since 31 Mar 2025)
  • [FCA CF] Client dealing (since 24 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 24 Jul 2023)
• Penelope Dartnall

  IRN PXD01199

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Feb 2026)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
• ROBERT CATOR

  IRN RXC01914

  • CF30 Customer (30 Jul 2012 to 1 Jul 2013)
• Robert Anthony Finch Noyes

  IRN RXF11209

  • 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
  • [FCA CF] Material risk taker (since 31 Mar 2025)
  • [FCA CF] Client dealing (since 30 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Sep 2024)
• Robert Steward

  IRN RMS01205

  • CF30 Customer (6 Apr 2010 to 23 Oct 2014)
• Roy Knollys Ellard Nicholson

  IRN RKN01016

  • CF2 Non Executive Director (18 Aug 2014 to 8 Dec 2019)

No changes recorded yet.