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

  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.

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• Debt Advice

  Show 2 limitations Hide limitations

  • · 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

  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.

• 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.

• Mark Gerrard

  IRN MXG00233

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

  IRN MJU00002

  • CF30 Customer (31 Mar 2011 to 30 Sep 2014)
• Nicholas Christian Stafford Taylor

  IRN NCT01051

  • CF30 Customer (21 Dec 2010 to 30 Sep 2015)
• Olivia Perry

  IRN OXP00014

  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Apr 2023)
  • [FCA CF] Client dealing (since 3 Apr 2023)
• Peter John Broadley

  IRN PJB01311

  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (2 Jul 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (2 Jul 2007 to 25 Nov 2013)
  • CF1 Director (2 Jul 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Jul 2007 to 30 Sep 2018)
• Samuel David Connor

  IRN SDC01104

  • CF30 Customer (1 Feb 2011 to 20 Jul 2019)
• Sarah Hendry

  IRN SXH02927

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Nov 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Nov 2024)
  • CF30 Customer (27 Nov 2017 to 8 Dec 2019)
• Shama Perera

  IRN SXP00319

  • [FCA CF] Material risk taker (1 Jul 2020 to 28 Feb 2022)
• Stephanie Ann Nathan

  IRN SAU01008

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Apr 2016 to 8 Dec 2019)
• Victoria Louise Gwatkin

  IRN VLG01015

  • CF11 Money Laundering Reporting (27 Nov 2013 to 26 Sep 2014)
  • CF10 Compliance Oversight (4 Jul 2013 to 26 Sep 2014)
  • CF30 Customer (4 Oct 2012 to 26 Sep 2014)

No changes recorded yet.