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.

• Ryan Roberts

  IRN RXR01646

  • [FCA CF] Manager of certification employee (since 16 Jan 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Mar 2015 to 8 Dec 2019)
• Samantha Jayne Holland

  IRN SJH01517

  • CF30 Customer (24 Dec 2010 to 28 Oct 2013)
• Samuel Charles Legh Barratt

  IRN SCB01137

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Material risk taker (since 31 Mar 2025)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (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)
  • CF3 Chief Executive (1 Dec 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Jan 2012 to 8 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF1 Director (1 Apr 2011 to 8 Dec 2019)
  • CF30 Customer (12 May 2009 to 8 Dec 2019)
• Samuel Joseph Matthews

  IRN SJM01469

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (10 Sep 2007 to 31 Oct 2007)
• Sebastian Payne-Smith

  IRN SXP00588

  • [FCA CF] Client dealing (since 28 Mar 2022)
• St John Colin Kenneth Agnew

  IRN SJA01089

  • CF30 Customer (26 Mar 2008 to 30 Oct 2008)
• Stephen John Livermore

  IRN SJL01174

  • CF10 Compliance Oversight (1 Apr 2005 to 31 May 2007)
  • CF11 Money Laundering Reporting (1 Apr 2005 to 31 May 2007)
  • CF15 Internal Audit (1 Apr 2005 to 31 May 2007)
• Stephen John Skinner

  IRN SJS01179

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Apr 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
• Thomas Paul Mitchell

  IRN TXM00244

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Aug 2021)
• Veliza Shaira Bale

  IRN VXB00016

  • 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 10 Dec 2025)
  • [FCA CF] Client dealing (since 10 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2025)

No changes recorded yet.