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.

  • 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)
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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.

No changes recorded yet.