Budge and Company Limited

• Principal Place of Business

  103-105

  Station Parade

  Harrogate

  North Yorkshire

  HG1 1HB

  UNITED KINGDOM

  Phone

  +441423877960

  Web

  http://www.budgeandco.co.uk

• Complaints Contact

  103-105 Station Parade

  Harrogate

  North Yorkshire

  HG1 5HR

  UNITED KINGDOM

  Phone

  +4401423877960

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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.

• Alan Roger Fox

  IRN ARF00002

  • Responsible for Insurance Mediation (14 Jan 2005 to 24 Sep 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 11 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 11 Dec 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 24 Sep 2007)
  • CF1 Director (1 Dec 2001 to 24 Sep 2007)
• Andrew David Howson

  IRN ADH01110

  • CF30 Customer (1 Nov 2007 to 17 Nov 2011)
  • CF22 Investment Adviser (Trainee) (13 Oct 2005 to 31 Oct 2007)
• Andrew George Sheffield

  IRN AGS01062

  • CF30 Customer (4 Feb 2009 to 9 Oct 2012)
• Cherrill Ann Braithwaite

  IRN CAB00018

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher David Wise

  IRN CDW01053

  • CF1 Director (30 Mar 2011 to 3 Sep 2012)
  • CF30 Customer (1 Feb 2011 to 3 Sep 2012)
• Claire Nicolson Paget

  IRN CXP00314

  • [FCA CF] Functions requiring qualifications (16 Jul 2021 to 19 Mar 2025)
  • [FCA CF] Client dealing (12 Jul 2021 to 19 Mar 2025)
• David Martin Buckle

  IRN DMB00008

  • CF30 Customer (1 Nov 2007 to 1 Jul 2009)
  • CF10 Compliance Oversight (24 Sep 2007 to 1 Jul 2009)
  • CF11 Money Laundering Reporting (24 Sep 2007 to 1 Jul 2009)
  • Responsible for Insurance Mediation (24 Sep 2007 to 1 Jul 2009)
  • CF1 Director (9 Feb 2007 to 1 Jul 2009)
  • CF21 Investment Adviser (9 Feb 2007 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (9 Feb 2007 to 31 Oct 2007)
• Donald Andrew Budge

  IRN DAB00019

  • CF30 Customer (1 Nov 2007 to 14 Jul 2008)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 24 Sep 2007)
  • CF1 Director (1 Dec 2001 to 10 Apr 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 10 Apr 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Graham Roddy Budge

  IRN GRB01126

  • 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
  • SMF16 Compliance Oversight (since 13 Aug 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (30 Mar 2011 to 8 Dec 2019)
  • CF30 Customer (23 Oct 2008 to 8 Dec 2019)
• Iain Andrew Budge

  IRN IAB00003

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10a CASS Oversight function (1 Oct 2011 to 13 Feb 2013)
  • CF11 Money Laundering Reporting (27 Jul 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (27 Jul 2009 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• D A Budge Pension Trustees Ltd (no longer appointed)

  FRN 185775 · Appointed 17 Nov 1997 · Until 15 Dec 2008

No changes recorded yet.