David Booler & Company

• 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

• 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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  • · 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

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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, 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.

• 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

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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.

• Trades With You Directly

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

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  • · 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

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  • · 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

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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), 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

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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.

• Catherine Geary

  IRN CMS01120

  • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
  • CF21 Investment Adviser (30 Mar 2005 to 31 Oct 2007)
• Christoper John Collier

  IRN CJC01160

  • CF1 Director (AR) (12 Oct 2005 to 9 Apr 2015)
• Christopher James Ball

  IRN CJB01404

  • 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
  • CF1 Director (AR) (since 6 Apr 2022)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (since 24 Nov 2010)
  • CF4 Partner (20 Oct 2016 to 8 Dec 2019)
• Christopher Michael Ward

  IRN CMW01154

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 18 Feb 2013)
• Colin John Crowley

  IRN CJC01159

  • CF1 Director (AR) (since 12 Oct 2005)
• Daniel Gaylor

  IRN DXG16463

  • [FCA CF] Functions requiring qualifications (21 Mar 2022 to 30 Jun 2022)
  • Appointed representative dealing with clients for which they require qualification (21 Mar 2022 to 30 Jun 2022)
• Darryl Anthony Powell

  IRN DAP01157

  • CF1 Director (AR) (16 Apr 2008 to 13 Aug 2012)
• David John Ball

  IRN DJB00074

  • CF10 Compliance Oversight (1 May 2013 to 20 Oct 2016)
  • CF30 Customer (1 Nov 2007 to 20 Oct 2016)
  • Responsible for Insurance Mediation (14 Jan 2005 to 20 Oct 2016)
  • CF8 Apportionment and Oversight (1 Jan 2004 to 31 Oct 2007)
  • CF1 Director (AR) (26 Mar 2003 to 20 Oct 2016)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 20 Oct 2016)
• David John France

  IRN DJF01210

  • SMF27 Partner (9 Dec 2019 to 31 Oct 2021)
  • [PRA CF] Key function holder (9 Dec 2019 to 31 Oct 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2021)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 31 Oct 2021)
  • CF10a CASS Oversight function (2 May 2013 to 8 Dec 2019)
  • CF4 Partner (5 Apr 2013 to 8 Dec 2019)
• David John Preston

  IRN DJP01342

  • CF1 Director (AR) (since 14 Jul 2015)

• Kendall Wadley Financial Services Limited (no longer appointed)

  FRN 452571 · Appointed 25 May 2006 · Until 30 Apr 2012

• Ballards FS Limited (no longer appointed)

  FRN 224308 · Appointed 11 Apr 2003 · Until 31 Oct 2009

• Tonetip Ltd (no longer appointed)

  FRN 190163 · Appointed 19 Jan 1999 · Until 31 Dec 2005

No changes recorded yet.