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

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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.

• 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.

• Jordan Miles Coleman

  IRN JXC01580

  • [FCA CF] Client dealing (since 1 Jul 2024)
• Karen Anne Sinton

  IRN KAS01079

  • CF1 Director (13 Jan 2003 to 16 Sep 2011)
• Kelly Ann Parsons

  IRN KAP01073

  • [FCA CF] Manager of certification employee (since 21 Jan 2026)
  • [FCA CF] Client dealing (since 21 Jan 2026)
• Kenneth Michael Locke

  IRN KML01017

  • CF30 Customer (29 Nov 2010 to 31 Dec 2012)
• Kenneth Ross Bottomley

  IRN KRB00003

  • CF24 Pension Transfer Specialist (1 Dec 2001 to 28 Jan 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 28 Jan 2005)
• Kenneth William McClintock

  IRN KWM01014

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 1 Jul 2021)
  • [FCA CF] Manager of certification employee (since 1 Jul 2021)
  • SMF3 Executive Director (23 Mar 2022 to 23 Oct 2025)
• Laura Marshall

  IRN LXJ01060

  • [FCA CF] Client dealing (9 Mar 2022 to 22 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Mar 2022 to 22 Jun 2023)
• Lorna Ann Brown

  IRN LAD00012

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2023)
  • CF30 Customer (26 Nov 2007 to 30 Jun 2017)
  • CF21 Investment Adviser (2 Apr 2003 to 7 Sep 2007)
  • CF22 Investment Adviser (Trainee) (8 Jul 2002 to 2 Apr 2003)
• Mark Tyrer

  IRN MXT01255

  • CF21 Investment Adviser (6 Jan 2005 to 30 Jun 2007)
  • CF22 Investment Adviser (Trainee) (19 May 2003 to 6 Jan 2005)
• Martin Speakes

  IRN MXS01292

  • [FCA CF] Manager of certification employee (since 26 Apr 2023)
  • [FCA CF] Client dealing (since 26 Apr 2023)

No changes recorded yet.