Broadstone Financial Solutions Limited

Date authorised
1 April 2013
Companies House
02131269
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David John Pye

    IRN DJP00051

    • [FCA CF] Client dealing (since 3 Nov 2021)
    • [FCA CF] Manager of certification employee (since 3 Nov 2021)
  • David Johnson Whalley

    IRN DJW00157

    • CF1 Director (1 Dec 2001 to 1 Oct 2008)
  • David Keith Wright

    IRN DKW00004

    • CF2 Non Executive Director (1 Dec 2001 to 1 Jun 2003)
  • David Muir Guthrie

    IRN DMG00010

    • CF1 Director (1 Dec 2001 to 7 Jul 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Jul 2004)
  • David Rowe

    IRN DXR00104

    • CF1 Director (13 Jan 2003 to 27 May 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 27 May 2005)
  • Duncan John MacNicoll

    IRN DJM00098

    • CF1 Director (1 Dec 2001 to 1 Oct 2008)
  • Edmund Bettison

    IRN EXB01639

    • CF11 Money Laundering Reporting (8 Feb 2016 to 31 Mar 2016)
  • Elizabeth Ann Kane

    IRN EAK00004

    • SMF16 Compliance Oversight (9 Dec 2019 to 24 Nov 2025)
    • CF10 Compliance Oversight (24 Apr 2019 to 8 Dec 2019)
  • Gordon Andrew Kerr

    IRN GXK00026

    • SMF3 Executive Director (since 10 Nov 2025)
  • Grant Edwin Stobart

    IRN GES01033

    • SMF1 Chief Executive (9 Dec 2019 to 21 Feb 2022)
    • SMF3 Executive Director (9 Dec 2019 to 21 Feb 2022)
    • CF3 Chief Executive (9 Apr 2019 to 8 Dec 2019)
    • CF1 Director (9 Apr 2019 to 8 Dec 2019)
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Recent activity

Updates to this firm's record on the FCA register.

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