Brideshead Independent Financial Services

• Principal Place of Business

  46 Wold Street

  Norton

  Malton

  North Yorkshire

  YO17 9AA

  UNITED KINGDOM

  Phone

  +4407989240071

• Complaints Contact

  46 Wold Street

  Norton

  Malton

  North Yorkshire

  YO17 9AA

  UNITED KINGDOM

  Phone

  +4407989240071

• P2P Lending Advice

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

• 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

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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 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.

• 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.

• Kerry Jane Megginson

  IRN KJM00008

  • 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)
  • Sole trader dealing with clients for which they require qualification (since 14 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [PRA CF] Key function holder (14 Dec 2020 to 15 Dec 2020)
  • [FCA CF] CASS oversight function (14 Dec 2020 to 15 Dec 2020)
  • [FCA CF] Client dealing (14 Dec 2020 to 15 Dec 2020)
  • [FCA CF] Functions requiring qualifications (14 Dec 2020 to 15 Dec 2020)
  • [FCA CF] Proprietary trader (14 Dec 2020 to 15 Dec 2020)
  • [FCA CF] Benchmark submission and administration (14 Dec 2020 to 15 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (30 Dec 2002 to 31 Oct 2007)
  • CF10 Compliance Oversight (30 Dec 2002 to 8 Dec 2019)

No changes recorded yet.