Connor Broadley Ltd

• Principal Place of Business

  Connor Broadley Ltd

  7 Curzon Street

  London

  W1J 5HG

  ENGLAND

  Phone

  +4402076478810

  Web

  https://www.connorbroadley.co.uk

• Complaints Contact

  Connor Broadley Ltd

  7 Curzon Street

  London

  W1J 5HG

  ENGLAND

  Phone

  +4402076478810

• 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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  • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Insurance Admin

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

• Stockbroking

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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
  • · This permission is limited to advice given in relation to investments

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• David Michael Taylor

  IRN DMT00003

  • [FCA CF] Material risk taker (16 Jun 2020 to 24 Nov 2021)
• Edward Alexander Hugh Slater

  IRN EAS01093

  • 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)
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Jun 2013 to 8 Dec 2019)
• Eilidh Anderson

  IRN EXA00039

  • 14. Managing investments
  • [FCA CF] Client dealing (since 12 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 12 Mar 2024)
• Frederick Russo

  IRN FXR01309

  • CF30 Customer (29 Mar 2016 to 29 Jul 2016)
• Isabella Eileen Stearns

  IRN IEG00009

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Dec 2021)
• James Linsey

  IRN JXL08111

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 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 (8 Nov 2018 to 8 Dec 2019)
• James Richard Connor

  IRN JRC00073

  • 11. Pension transfer specialist
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Dec 2019)
  • CF3 Chief Executive (5 Dec 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (26 Sep 2014 to 24 Jun 2015)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (2 Jul 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jul 2007 to 1 Jul 2013)
  • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (2 Jul 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (2 Jul 2007 to 31 Mar 2009)
• John Gwatkin

  IRN JXG00245

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Louise Samantha Shepherd

  IRN LSH01036

  • CF30 Customer (16 Oct 2015 to 30 Nov 2017)
• Mark Beaumont

  IRN MXB00433

  • [FCA CF] Material risk taker (since 9 Dec 2019)

No changes recorded yet.