Broadgate Wealth Client Servicing LLP

• Principal Place of Business

  Broadgate Wealth Client Servicing Llp

  23 The Green

  Billingham

  Stockton-On-Tees

  TS23 1ES

  UNITED KINGDOM

  Phone

  +441642919050

  Web

  https://www.broadgatewealth.co.uk

• Complaints Contact

  Broadgate Wealth Client Servicing Llp

  23 The Green

  Billingham

  Stockton-On-Tees

  TS23 1ES

  UNITED KINGDOM

  Phone

  +441642919050

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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

  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt adjusting excluding the conclusion or administration of debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• . A & R Sheekey Limited

  IRN XXB17245

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (24 Jul 2019 to 8 Dec 2019)
• . McCallan Limited

  IRN XXM17248

  • SMF27 Partner (9 Dec 2019 to 10 Jun 2025)
  • CF4 Partner (24 Jul 2019 to 8 Dec 2019)
• . N Sheekey Limited

  IRN XXN17246

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (24 Jul 2019 to 8 Dec 2019)
• Alan Sheekey

  IRN AXS00182

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 24 Jul 2019)
  • Responsibility for MCD Intermediation (since 24 Jul 2019)
  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 24 Nov 2022)
  • [FCA CF] Client dealing (24 Nov 2020 to 24 Nov 2022)
  • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Jul 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 Jul 2019 to 8 Dec 2019)
• Christopher Andrew Jones

  IRN CAJ01092

  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 31 Dec 2022)
  • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
• Danniel Thomas Spooner

  IRN DXS14908

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
• David Sinclair Hudson

  IRN DSH01072

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 24 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
  • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
• Grant Dickinson

  IRN GXD00075

  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 17 Feb 2023)
• Ian Thomas McCallan

  IRN IXM00058

  • [FCA CF] Client dealing (1 Mar 2022 to 17 Aug 2023)
  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 17 Aug 2023)
• James Andrew Downing

  IRN JAD01366

  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 2 Dec 2020)
  • CF30 Customer (24 Jul 2019 to 8 Dec 2019)

No changes recorded yet.