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.

• Paul Essex

  IRN PXE00045

  • CF1 Director (AR) (1 Dec 2001 to 31 Dec 2005)
• Paul Roland Blakemore

  IRN PRB01099

  • CF1 Director (AR) (2 May 2008 to 8 Jul 2009)
• Prabhdeep Gill

  IRN PXG00353

  • 14. Managing investments
  • 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)
  • [FCA CF] Functions requiring qualifications (since 24 Feb 2023)
  • [FCA CF] Client dealing (since 24 Feb 2023)
• Richard James Borrington

  IRN RJB01331

  • 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)
  • CF1 Director (AR) (since 24 Mar 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 22 Feb 2008)
  • CF4 Partner (20 Oct 2016 to 8 Dec 2019)
• Richard John Hallsworth

  IRN RJH01384

  • CF1 Director (AR) (since 18 Jun 2015)
• Richard John Smith

  IRN RJS00152

  • CF1 Director (AR) (1 Dec 2001 to 9 Apr 2015)
• Richard William Grayson

  IRN RWG01039

  • CF1 Director (AR) (12 Apr 2011 to 31 Mar 2022)
• Roger Philip Prescott

  IRN RPP00003

  • CF21 Investment Adviser (26 Mar 2004 to 29 Aug 2004)
• Samuel Anthony Hubbert

  IRN SAH01327

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • [FCA CF] Client dealing (since 13 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 13 Sep 2021)
• Sarah Catherine Bailey

  IRN SCC00021

  • CF10a CASS Oversight function (1 Oct 2011 to 1 May 2013)
  • CF30 Customer (1 Nov 2007 to 6 Feb 2008)
  • CF21 Investment Adviser (30 Sep 2003 to 31 Oct 2007)
  • CF10 Compliance Oversight (10 Apr 2002 to 1 May 2013)
  • CF11 Money Laundering Reporting (10 Apr 2002 to 1 May 2013)
  • CF22 Investment Adviser (Trainee) (10 Apr 2002 to 30 Sep 2003)

• 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.