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.

• Simon Michael Pickerill

  IRN SMP00041

  • [FCA CF] Client dealing (since 21 Feb 2024)
  • [FCA CF] Client dealing (3 Nov 2021 to 1 Aug 2023)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 6 Apr 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Apr 2005)
• Simon Spencer Cody Myers

  IRN SXM00829

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Aug 2021)
  • [FCA CF] Client dealing (since 17 Aug 2021)
• Simon Walker

  IRN SIW01006

  • CF2 Non Executive Director (23 Jun 2016 to 27 Feb 2019)
• Stephen Howard Bamforth

  IRN SHB01043

  • CF2 Non Executive Director (15 Aug 2002 to 1 Oct 2008)
• Stuart James Stroud

  IRN SJS01229

  • CF30 Customer (13 Nov 2009 to 31 Dec 2012)
• Susan Bourke

  IRN SXB00250

  • CF30 Customer (1 Nov 2007 to 14 Feb 2019)
  • CF21 Investment Adviser (30 Apr 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 Apr 2002)
• Susan Jane McFarlane

  IRN SJW01260

  • CF21 Investment Adviser (4 Sep 2002 to 20 Sep 2002)
  • CF22 Investment Adviser (Trainee) (27 Dec 2001 to 4 Sep 2002)
• Susan Jennifer Holbert

  IRN SJH00039

  • CF22 Investment Adviser (Trainee) (12 Feb 2002 to 15 Sep 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 12 Feb 2002)
• Suzanne Rivers Mansfield

  IRN SRM01117

  • CF21 Investment Adviser (5 Feb 2004 to 6 May 2005)
  • CF22 Investment Adviser (Trainee) (20 May 2003 to 5 Feb 2004)
• Thomas Richard Fair

  IRN TRF01022

  • CF30 Customer (4 Aug 2009 to 6 Aug 2010)

No changes recorded yet.