BUTLER TOLL LIMITED

• Principal Place of Business

  Regus House

  Whitehill Way

  Swindon

  Swindon

  SN5 6QR

  UNITED KINGDOM

  Phone

  +4401793786300

  Web

  https://www.butlertoll.co.uk

• Complaints Contact

  Regus House

  Whitehill Way

  Swindon

  Swindon

  SN5 6QR

  UNITED KINGDOM

  Phone

  +4401793786300

• 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

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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.

• Alexander James Corbett

  IRN AJC01618

  • [FCA CF] Functions requiring qualifications (15 Apr 2021 to 24 Mar 2022)
  • [FCA CF] Client dealing (15 Apr 2021 to 24 Mar 2022)
• Alexander James Hall

  IRN AJH01697

  • [FCA CF] Functions requiring qualifications (1 May 2023 to 16 Jul 2025)
  • [FCA CF] Client dealing (1 May 2023 to 16 Jul 2025)
• Andrew Christopher Morton

  IRN ACM01217

  • CF30 Customer (7 Oct 2011 to 29 Jul 2014)
• Andrew Edward Cockbill

  IRN AXC09833

  • CF30 Customer (25 Dec 2018 to 7 Mar 2019)
• Andrew John Toll

  IRN AJT01240

  • CF30 Customer (12 Jun 2009 to 31 Aug 2010)
• Andrew Jonathan Carter

  IRN AJC00040

  • CF21 Investment Adviser (10 Feb 2006 to 7 Apr 2006)
• Andrew Westall

  IRN AXW00050

  • SMF3 Executive Director (9 Dec 2019 to 17 Jun 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Jun 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 17 Jun 2025)
  • CF30 Customer (1 Nov 2007 to 29 Dec 2012)
  • CF21 Investment Adviser (10 Feb 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (10 Feb 2006 to 1 Feb 2009)
  • CF10 Compliance Oversight (10 Feb 2006 to 8 Dec 2019)
  • CF1 Director (10 Feb 2006 to 8 Dec 2019)
  • Responsible for Insurance Mediation (10 Feb 2006 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (10 Feb 2006 to 1 Nov 2007)
• Carl Michael Naudo

  IRN CXN00197

  • [FCA CF] Functions requiring qualifications (1 Nov 2023 to 10 Sep 2025)
  • [FCA CF] Client dealing (1 Nov 2023 to 10 Sep 2025)
• Gemma Alexandra McKnight

  IRN GXC06207

  • [FCA CF] Client dealing (15 Sep 2025 to 6 Feb 2026)
  • [FCA CF] Functions requiring qualifications (15 Sep 2025 to 6 Feb 2026)
• Ghazenefar Ahmed

  IRN GXA33179

  • 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 1 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2025)

• Whitley Stimpson Financial Services Ltd (no longer appointed)

  FRN 210548 · Appointed 20 Feb 2006 · Until 31 Aug 2006

No changes recorded yet.