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

  Show 2 limitations Hide 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 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.

• 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.

• 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.

• Gregory James Humphries

  IRN GJH00047

  • CF30 Customer (29 Nov 2010 to 21 Oct 2015)
• Ian James Roylance

  IRN IJR00012

  • [FCA CF] Client dealing (since 3 Nov 2021)
• Ian Thomas McCue

  IRN ITM01022

  • CF30 Customer (24 Jun 2013 to 30 May 2014)
• Jennifer Anne Jones

  IRN JAJ00007

  • CF30 Customer (1 Nov 2007 to 1 Apr 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jeremy Richard Brown

  IRN JXB00103

  • [FCA CF] Client dealing (since 11 Oct 2023)
• John Edward Frank Mills

  IRN JEM00075

  • CF30 Customer (29 Nov 2010 to 1 Apr 2014)
• John McCarthy

  IRN JXM25105

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Aug 2025)
• John Nicholas Paltridge

  IRN JNP00013

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Dec 2025)
  • CF10 Compliance Oversight (5 Apr 2016 to 22 Feb 2019)
  • CF11 Money Laundering Reporting (5 Apr 2016 to 8 Dec 2019)
• Jonathan Ian Montgomery

  IRN JIM01032

  • CF30 Customer (3 Apr 2013 to 20 Oct 2014)
• Jonathan Nicholas Jones

  IRN JNJ01022

  • SMF3 Executive Director (9 Dec 2019 to 30 Oct 2025)
  • CF1 Director (25 Apr 2019 to 8 Dec 2019)

No changes recorded yet.