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.

• Sian Helen Kent

  IRN SHL00008

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 9 Aug 2018)
• Simon Christopher Woodhead

  IRN SCW01072

  • 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 4 Dec 2014)
• Simon Julian Watts

  IRN SJW01447

  • 14. Managing investments
  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 27 Jun 2013)
• Sophie McIntyre

  IRN SXP02252

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Dec 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Dec 2025)
  • CF30 Customer (19 Mar 2015 to 8 Dec 2019)
• Stephen John Mcguiness

  IRN SJM01501

  • CF1 Director (AR) (27 Mar 2009 to 26 Feb 2021)
• Stephen Michael Kerby

  IRN SMK01044

  • CF1 Director (AR) (31 Mar 2003 to 31 Oct 2014)
• Thomas Goodman

  IRN TXG00247

  • 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 1 Nov 2023)
  • [FCA CF] Client dealing (since 1 Nov 2023)
• Timothy David Boakes

  IRN TDB00012

  • CF1 Director (AR) (1 Dec 2001 to 31 Dec 2005)
• Vincent Carl Connolly

  IRN VCC00001

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF4 Partner (2 Jan 2002 to 31 Oct 2008)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Wayne Douglas Thomas

  IRN WDT01013

  • CF1 Director (AR) (since 31 Oct 2018)

• 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.