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.

• Kerry Louise Armson

  IRN KLS01058

  • CF1 Director (AR) (since 10 Apr 2019)
• Louis Michael Totaro

  IRN LMT01033

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (6 Sep 2006 to 31 Oct 2007)
• Mark Andrew Skellum

  IRN MXS16453

  • CF1 Director (AR) (since 26 Jun 2019)
• Mark Ashworth

  IRN MXA01692

  • CF1 Director (AR) (21 Jun 2006 to 30 Apr 2012)
• Michael David Booler

  IRN MDB00021

  • CF1 Director (AR) (26 Mar 2003 to 31 Dec 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2003)
  • CF4 Partner (1 Dec 2001 to 31 Dec 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Apr 2002)
  • CF10 Compliance Oversight (1 Dec 2001 to 12 Apr 2002)
• Michael Morton

  IRN MXM00254

  • CF1 Director (AR) (1 Dec 2001 to 1 Apr 2007)
• Michelle Marie Mary Mason

  IRN MMM00014

  • CF30 Customer (26 Nov 2009 to 10 Dec 2019)
• Nicholas Bonnello

  IRN NXB00278

  • CF1 Director (AR) (since 15 Nov 2021)
• Nigel Darrell Douglas

  IRN NDD00012

  • CF1 Director (AR) (31 Mar 2003 to 31 Mar 2011)
• Paul Anthony Quaid

  IRN PAQ00002

  • SMF16 Compliance Oversight (19 Jan 2022 to 31 Oct 2024)
  • Responsible for Insurance Distribution (19 Jan 2022 to 31 Oct 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2024)
  • [PRA CF] Key function holder (9 Dec 2019 to 31 Oct 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2024)
  • SMF27 Partner (9 Dec 2019 to 31 Oct 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF1 Director (AR) (24 Apr 2003 to 6 Apr 2022)
  • CF4 Partner (2 Jan 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• 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.