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.

• Peter Vincent Kelk

  IRN PVK01007

  • CF28 Systems and controls (12 Nov 2014 to 31 Mar 2016)
• Rachel Elizabeth Meadows

  IRN REW01073

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Apr 2023)
  • CF30 Customer (14 Nov 2007 to 8 Dec 2019)
• Richard John Sweetman

  IRN RJS01179

  • [FCA CF] Manager of certification employee (since 8 Aug 2024)
  • [FCA CF] Client dealing (since 30 Oct 2023)
• Robert John Owens

  IRN RJO00007

  • CF30 Customer (1 Nov 2007 to 1 Apr 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Robert Michael Spicer

  IRN RMS00010

  • CF22 Investment Adviser (Trainee) (10 Jan 2006 to 10 Jun 2006)
• Robert Norman Charles Hillock

  IRN RNH01044

  • 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] Manager of certification employee (since 25 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Roberta Fitzgerald Holden

  IRN RXH00430

  • [FCA CF] Client dealing (since 15 Oct 2021)
• Robin Mark Hill Griffiths

  IRN RMG00016

  • CF2 Non Executive Director (1 Dec 2001 to 1 Jun 2003)
• Sara Jane Bingham

  IRN SJB01515

  • CF30 Customer (12 Feb 2018 to 17 May 2018)
• Shauna Maria Radhika Jhappan

  IRN SMT00003

  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Jul 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2002)

No changes recorded yet.