BROOM CONSULTANTS LIMITED

• Principal Place of Business

  Broom Consultant Ltd

  4 Gresham Road

  Brentwood

  Essex

  CM14 4HN

  UNITED KINGDOM

  Phone

  +4401277202222

  Web

  https://www.broomconsultants.com

• Complaints Contact

  Broom Consultant Ltd

  4 Gresham Road

  Brentwood

  Essex

  CM14 4HN

  UNITED KINGDOM

  Phone

  +4401277202222

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Derek Roy Povey

  IRN DRP00005

  • CF30 Customer (4 Feb 2010 to 21 Jan 2016)
• Dominic Michael Savill

  IRN DMS01328

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2018 to 8 Dec 2019)
• Emma Pearl Richardson

  IRN EPR01008

  • CF30 Customer (5 Feb 2008 to 2 Sep 2009)
• Frederick Edmund Reader Digweed

  IRN FXD00060

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 4 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2022)
• Garry Mackin

  IRN GXM00139

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Gary Nettleingham

  IRN GXN01119

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Jan 2012 to 23 Mar 2015)
• Gianpaolo Parodi

  IRN GXP01131

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 5 Oct 2022)
  • [FCA CF] Client dealing (since 5 Oct 2022)
• Graham Charles William Masters

  IRN GCM00007

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2021)
  • CF30 Customer (5 Jun 2017 to 8 Dec 2019)
• Hafsa Bhuta

  IRN HXB01250

  • CF30 Customer (25 Jul 2008 to 25 Jul 2008)
• Ian William Pegrum

  IRN IWP00002

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (4 Jan 2011 to 8 Dec 2019)

No changes recorded yet.