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.

• Kevin Anderson

  IRN KXA00003

  • CF30 Customer (1 Nov 2007 to 15 Dec 2010)
  • CF21 Investment Adviser (16 Oct 2002 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (16 Oct 2002 to 31 Oct 2007)
  • CF1 Director (16 Oct 2002 to 20 Aug 2007)
• Linda Janet Rolls

  IRN LXR01156

  • CF24 Pension Transfer Specialist (2 Jun 2006 to 12 Oct 2007)
  • CF21 Investment Adviser (2 Jun 2006 to 12 Oct 2007)
• Louise Nixon

  IRN LXN00050

  • 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 19 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2021)
  • [FCA CF] Manager of certification employee (12 Jul 2021 to 19 Oct 2021)
• Maralyn Ann Johnson

  IRN MAJ00019

  • SMF16 Compliance Oversight (9 Dec 2019 to 21 May 2021)
  • CF10 Compliance Oversight (14 Jul 2009 to 8 Dec 2019)
  • CF30 Customer (4 Feb 2009 to 24 Nov 2014)
• Marcus Fox

  IRN MEF01044

  • CF30 Customer (1 Nov 2007 to 7 Jul 2008)
  • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (29 May 2003 to 27 Feb 2006)
• Nicholas William Watson

  IRN NWW00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 30 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 1 May 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (8 Dec 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (2 May 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (2 May 2003 to 31 Oct 2007)
• Robin William MacDonald

  IRN RWM00013

  • CF24 Pension Transfer Specialist (17 Nov 2004 to 16 May 2005)
  • CF21 Investment Adviser (17 Nov 2004 to 16 May 2005)
• Terence Martin Barnes

  IRN TMB00005

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 1 May 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

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

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

No changes recorded yet.