BRIAN MOLE INDEPENDENT FINANCIAL ADVISERS LTD.

• Principal Place of Business

  Independence House

  26-27 Bridge Street

  Burton-on-Trent

  Staffordshire

  DE14 1SY

  UNITED KINGDOM

  Phone

  +4401283512252

  Web

  https://www.fosterdenovo.com

• Complaints Contact

  Ruxley House

  2 Hamm Moor Lane

  Addlestone

  Surrey

  KT15 2SA

  UNITED KINGDOM

  Phone

  +4401932870720

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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

  Show 2 limitations Hide limitations

  • · 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, 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  For Professional, Retail (Investment)

  Show 1 limitation Hide limitations

  • · 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, 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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, 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.

• Brian Christopher Mole

  IRN BCM00006

  • CF2 Non Executive Director (6 Jun 2008 to 8 Jan 2013)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF11 Money Laundering Reporting (4 Apr 2005 to 1 Jun 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Jun 2008)
  • CF3 Chief Executive (18 Sep 2002 to 1 Jun 2008)
  • CF1 Director (18 Sep 2002 to 1 Jun 2008)
  • CF21 Investment Adviser (18 Sep 2002 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (18 Sep 2002 to 1 Jun 2008)
• Clarence Bennie Robinson

  IRN CBR00003

  • CF1 Director (AR) (15 Jan 2013 to 30 Nov 2024)
• Colin Morris Evans

  IRN CME00003

  • CF30 Customer (1 Nov 2007 to 11 Aug 2015)
  • CF10 Compliance Oversight (6 Apr 2005 to 1 Jan 2011)
  • CF24 Pension Transfer Specialist (18 Sep 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (18 Sep 2002 to 31 Oct 2007)
• David Hulland

  IRN DXH00192

  • [FCA CF] Functions requiring qualifications (1 Sep 2022 to 14 Mar 2025)
  • [FCA CF] Client dealing (1 Sep 2022 to 14 Mar 2025)
• Dean Woodward

  IRN DXW00009

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 8 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Mar 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 14 Mar 2025)
  • CF11 Money Laundering Reporting (6 Jun 2008 to 8 Dec 2019)
  • CF1 Director (6 Jun 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 30 Nov 2024)
  • CF21 Investment Adviser (27 Apr 2005 to 31 Oct 2007)
• Gary Malcolm Smith

  IRN GMS00027

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Mar 2025)
  • CF30 Customer (30 Jul 2012 to 30 Nov 2024)
  • CF21 Investment Adviser (5 Jul 2007 to 6 Sep 2007)
  • CF22 Investment Adviser (Trainee) (16 Oct 2006 to 5 Jul 2007)
• Howard John Greatorex

  IRN HJG00002

  • SMF3 Executive Director (9 Dec 2019 to 29 Aug 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Aug 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Aug 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 29 Aug 2023)
  • CF1 Director (21 Aug 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 29 Aug 2023)
  • CF21 Investment Adviser (1 May 2003 to 31 Oct 2007)
• James Alan Bishop

  IRN JAB01414

  • CF30 Customer (1 Nov 2007 to 15 Jun 2020)
  • CF22 Investment Adviser (Trainee) (20 Oct 2006 to 31 Oct 2007)
• Kevin Peter Smith

  IRN KPS00002

  • CF10 Compliance Oversight (1 Nov 2003 to 22 Mar 2005)
  • CF1 Director (22 May 2003 to 22 Mar 2005)
  • CF21 Investment Adviser (18 Sep 2002 to 22 Mar 2005)
• Kevin Robert Douglas

  IRN KRD00005

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • [FCA CF] Significant management (9 Dec 2019 to 14 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Mar 2025)
  • CF10 Compliance Oversight (1 Jan 2011 to 8 Dec 2019)
  • CF1 Director (6 Jun 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Jun 2008 to 30 Sep 2018)
  • CF3 Chief Executive (6 Jun 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 Jun 2008 to 31 Mar 2009)
  • CF30 Customer (1 Nov 2007 to 30 Nov 2024)
  • CF21 Investment Adviser (18 Sep 2002 to 31 Oct 2007)

• Rochesters Financial Advisers Limited (no longer appointed)

  FRN 670665 · Appointed 9 Feb 2015 · Until 14 Dec 2018

• Sibbalds Financial Services Ltd (no longer appointed)

  FRN 577866 · Appointed 20 Mar 2012 · Until 20 Aug 2024

• Ben Robinson Financial Advisers Limited (no longer appointed)

  FRN 574668 · Appointed 7 Feb 2012 · Until 18 Sep 2024

No changes recorded yet.