Broadstone Corporate Benefits Limited

• Principal Place of Business

  Broadstone Corporate Benefits Ltd

  100 Wood Street

  London

  City Of London

  EC2V 7AN

  UNITED KINGDOM

  Phone

  +4402038696900

  Web

  https://www.broadstone.co.uk

• Complaints Contact

  Broadstone Corporate Benefits Ltd

  100 Wood Street

  London

  City Of London

  EC2V 7AN

  UNITED KINGDOM

  Phone

  +4402038696900

• 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

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  • · 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 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 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, Option (excluding a commodity option and an option on a commodity future), 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.

• 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, Option (excluding a commodity option and an option on a commodity future), 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Insurance Admin

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

• 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, Option (excluding a commodity option and an option on a commodity future), 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.

• Nicholas Graham Rudd

  IRN NGR00001

  • CF29 Significant management (24 Apr 2013 to 6 Aug 2014)
  • CF30 Customer (24 Apr 2013 to 6 Aug 2014)
• Nicholas Paul Mellor

  IRN NXM24350

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 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] Functions requiring qualifications (since 22 Apr 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 Nov 2019 to 8 Dec 2019)
• Nigel Jones

  IRN NXJ01095

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (20 Dec 2017 to 8 Dec 2019)
  • CF1 Director (20 Dec 2017 to 8 Dec 2019)
• Oscar Brown

  IRN OXB11586

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2020)
  • CF30 Customer (20 Feb 2019 to 8 Dec 2019)
• Paul Bowden

  IRN PXB26621

  • SMF3 Executive Director (18 Mar 2020 to 3 Aug 2022)
• Paul Dawson

  IRN PXD01957

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 10 Mar 2026)
  • [FCA CF] Manager of certification employee (since 10 Mar 2026)
  • [FCA CF] Client dealing (since 10 Mar 2026)
• Paul Francis

  IRN PJF00076

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2020)
  • CF30 Customer (27 Sep 2019 to 8 Dec 2019)
• Paul Gerard Mc Guckin

  IRN PGM00016

  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2022)
  • Responsible for Insurance Distribution (29 Mar 2019 to 30 Nov 2022)
  • CF1 Director (29 Mar 2019 to 8 Dec 2019)
• Paul Ian Noone

  IRN PIN01000

  • CF1 Director (23 Aug 2013 to 30 Sep 2019)
  • CF28 Systems and controls (18 Jun 2013 to 30 Sep 2019)
  • CF29 Significant management (18 Jun 2013 to 23 Aug 2013)
• Peter David Borley Dean

  IRN PDD01039

  • CF30 Customer (10 May 2013 to 8 Mar 2019)

No changes recorded yet.