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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · 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.

• Jenna Donaldson

  IRN JXD00230

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2023)
• Joseph Conor Hancock-Sheekey

  IRN JXH03281

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2025)
• Katie Lee Hudson

  IRN KXH00352

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 13 Oct 2022)
• Michael William Hudson

  IRN MWH00029

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 21 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 21 Oct 2021)
• Neil Fraser Sheekey

  IRN NFS00006

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

  IRN PES01105

  • 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)
• Stephen Robert Hogg

  IRN SRH01144

  • 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)
• Steven Roberts

  IRN SXR01614

  • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
• Thomas Anthony Pycroft

  IRN TXP00327

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 5 Aug 2024)
  • [FCA CF] Client dealing (since 5 Aug 2024)

No changes recorded yet.