Broadstone Financial Solutions Limited

• Principal Place of Business

  Broadstone Financial Solutions Ltd

  100 Wood Street

  London

  City Of London

  EC2V 7AN

  UNITED KINGDOM

  Phone

  +4402038696900

  Web

  https://www.broadstone.co.uk

• Complaints Contact

  Broadstone Financial Solutions 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, 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.

• Charles Andrew McHardy

  IRN CAM01311

  • [FCA CF] Client dealing (1 Jul 2021 to 31 May 2023)
  • [FCA CF] Functions requiring qualifications (1 Jul 2021 to 31 May 2023)
• Christopher Thomas Hampson

  IRN CTH00003

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2024)
  • CF30 Customer (4 Mar 2016 to 8 Dec 2019)
• Colin Robert Nicol

  IRN CRN00001

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (4 Jul 2003 to 31 Oct 2007)
  • CF1 Director (8 Jan 2003 to 30 Jan 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Craig Andrew Williams

  IRN CAW00048

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (4 Jul 2003 to 31 Oct 2007)
  • CF1 Director (16 Jan 2003 to 30 Jan 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Damian Thomas Looker

  IRN DTL00004

  • CF21 Investment Adviser (5 Sep 2002 to 5 Sep 2003)
  • CF22 Investment Adviser (Trainee) (14 Jan 2002 to 5 Sep 2002)
• Damon Walter Hopkins

  IRN DWH01116

  • [FCA CF] Manager of certification employee (since 13 Dec 2022)
  • [FCA CF] Client dealing (since 13 Dec 2022)
  • [FCA CF] Significant management (since 13 Dec 2022)
• Darren James Critten

  IRN DJC01365

  • CF30 Customer (18 Nov 2013 to 20 May 2015)
• David John Dodd

  IRN DJD01164

  • CF30 Customer (1 Nov 2007 to 26 Aug 2011)
  • CF21 Investment Adviser (30 Nov 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (7 Jun 2005 to 30 Nov 2005)
• David John Drury

  IRN DJD01161

  • CF21 Investment Adviser (15 Aug 2005 to 31 Jul 2006)
  • CF24 Pension Transfer Specialist (15 Aug 2005 to 31 Jul 2006)
  • CF22 Investment Adviser (Trainee) (15 Mar 2005 to 31 Jul 2006)
• David John McCulloch Wilson

  IRN DJW01185

  • CF11 Money Laundering Reporting (1 May 2014 to 30 Sep 2014)

No changes recorded yet.