BLUE OCEAN INVESTMENT CO LTD

• Principal Place of Business

  9 Cherry Trees

  Hartley

  Longfield

  Kent

  DA3 8DS

  UNITED KINGDOM

  Phone

  +441474709605

  Web

  https://www.blueoceanfp.co.uk

• Complaints Contact

  9 Cherry Trees

  Hartley

  Longfield

  Kent

  DA3 8DS

  UNITED KINGDOM

  Phone

  +441474709605

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For Commercial, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Annabel Sumner

  IRN AXS04743

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Heather Imogen Dunne

  IRN HID00002

  • CF30 Customer (6 Jul 2010 to 1 Dec 2011)
• John Alfred Doyle

  IRN JAD00028

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 10 Oct 2016)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
  • Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
  • CF1 Director (2 Jan 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
  • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
• Karen Gorbutt

  IRN KXG00248

  • [FCA CF] Functions requiring qualifications (20 Oct 2022 to 29 Sep 2023)
  • [FCA CF] Client dealing (20 Oct 2022 to 29 Sep 2023)
• Laura Fidge

  IRN LXF00100

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Pauline Jill Doyle

  IRN PJD01217

  • CF1 Director (2 Jan 2007 to 17 Oct 2014)
• Robert Peter Dos Santos

  IRN RPD00009

  • CF30 Customer (7 Nov 2012 to 27 Dec 2012)

No changes recorded yet.