BROWN,THORNTON & LEE INDEPENDENT FINANCIAL ADVISERS LLP

• Principal Place of Business

  Unit 14

  Eagle Building

  201 High Street East

  Sunderland

  SR1 2AX

  UNITED KINGDOM

  Phone

  +4401915656687

• Complaints Contact

  Brown Thornton & Lee I F A S LLP

  Unit 14

  Eagle Building

  201 High Street East

  Sunderland

  SR1 2AX

  UNITED KINGDOM

  Phone

  +4401915656687

• 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 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.

• 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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  • · This permission is limited to debt counselling which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management activity

• 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.

• David James Thornton Lee

  IRN DJL00047

  • CF8 Apportionment and Oversight (1 Mar 2008 to 31 Mar 2009)
  • CF10 Compliance Oversight (1 Mar 2008 to 22 Mar 2010)
  • CF30 Customer (1 Nov 2007 to 26 Apr 2010)
  • Responsible for Insurance Mediation (12 May 2005 to 26 Apr 2010)
  • CF4 Partner (12 May 2005 to 26 Apr 2010)
  • CF21 Investment Adviser (12 May 2005 to 31 Oct 2007)
• David Thornton

  IRN DXT00029

  • CF30 Customer (1 Nov 2007 to 30 Dec 2012)
  • CF11 Money Laundering Reporting (12 May 2005 to 30 Dec 2012)
  • CF4 Partner (12 May 2005 to 31 Mar 2013)
  • CF21 Investment Adviser (12 May 2005 to 31 Oct 2007)
• John William Brown

  IRN JWB00040

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 8 Dec 2020)
  • [FCA CF] Client dealing (since 8 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (since 23 Nov 2006)
  • CF11 Money Laundering Reporting (15 Apr 2013 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (12 May 2005 to 1 Mar 2008)
  • CF10 Compliance Oversight (12 May 2005 to 1 Mar 2008)
  • CF21 Investment Adviser (12 May 2005 to 31 Oct 2007)
  • CF4 Partner (12 May 2005 to 8 Dec 2019)

• Harkertine Consultants Ltd

  FRN 537645 · Appointed 14 Dec 2010

• David Thornton Independent Financial Advisers (no longer appointed)

  FRN 460014 · Appointed 13 Nov 2006 · Until 30 Dec 2012

• Eastlake Consultants Ltd (no longer appointed)

  FRN 460012 · Appointed 13 Nov 2006 · Until 13 Apr 2011

• David Lee Independent Financial Adviser (no longer appointed)

  FRN 200748 · Appointed 10 Nov 2006 · Until 26 Apr 2010

No changes recorded yet.