David Booler & Company

Date authorised
1 April 2013
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 Grove Court
    Grove Park
    Enderby
    Leicester
    Leicestershire
    LE19 1SA
    UNITED KINGDOM
    Phone
    +441162407070
    Web
    https://www.boolers.co.uk

  • Complaints Contact

    9 Grove Court
    Grove Park
    Enderby
    Leicester
    Leicestershire
    LE19 1SA
    UNITED KINGDOM
    Phone
    +441162407070

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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, 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
    • · 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
    • · 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, 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
    • · 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.

  • Credit Brokering

  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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), Share, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Trades With You Directly

    For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Runs Personal Pensions

  • 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, 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
    • · 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), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • . David Booler and Co Limited

    IRN XXD01013

    • CF4 Partner (1 Jan 2004 to 7 Jan 2013)
  • Abbee Mary Scott

    IRN AMS01458

    • CF30 Customer (15 Oct 2018 to 2 Sep 2019)
  • Abdallah Abubakar Gurnah

    IRN AAG01052

    • CF1 Director (AR) (27 Mar 2009 to 26 Feb 2021)
  • Andrew Charles Jones

    IRN ACJ00021

    • CF1 Director (AR) (1 Dec 2001 to 31 Dec 2005)
  • Andrew John Durrant White

    IRN AJW00075

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Oct 2021)
    • SMF27 Partner (9 Dec 2019 to 31 Oct 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2021)
    • [PRA CF] Key function holder (9 Dec 2019 to 31 Oct 2021)
    • [PRA CF] Managing a material risk taker (9 Dec 2019 to 31 Oct 2021)
    • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 31 Oct 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Oct 2021)
    • Responsible for Insurance Mediation (21 Oct 2016 to 30 Sep 2018)
    • CF10 Compliance Oversight (20 Oct 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 May 2013 to 2 Oct 2016)
    • CF1 Director (AR) (11 Mar 2008 to 7 Aug 2019)
    • CF30 Customer (1 Nov 2007 to 31 Oct 2021)
    • CF4 Partner (4 Jan 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Angela Varley

    IRN AXV00018

    • CF21 Investment Adviser (1 Dec 2001 to 1 Sep 2004)
  • Angelica Powell

    IRN AXP01789

    • CF1 Director (AR) (16 Apr 2008 to 13 Aug 2012)
  • Anthony Thomas Potter

    IRN AXP00605

    • CF1 Director (AR) (since 22 Apr 2022)
  • Antony Joseph Youselli

    IRN AXY00055

    • CF1 Director (AR) (26 Oct 2021 to 6 Dec 2022)
  • Carole Alison Waghorne

    IRN CAW01152

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 3 Oct 2024)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • CF30 Customer (since 15 Jan 2010)
    • CF4 Partner (12 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 6 Feb 2008)
    • CF21 Investment Adviser (21 Aug 2006 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

Updates to this firm's record on the FCA register.

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