Farley & Thompson LLP

• Principal Place of Business

  Pine Grange

  Bath Road

  Bournemouth

  Dorset

  BH1 2NU

  UNITED KINGDOM

  Phone

  +4401202295000

  Web

  https://www.farleyandthompson.co.uk

• Complaints Contact

  Pine Grange

  Bath Road

  Bournemouth

  Dorset

  BH1 2NU

  UNITED KINGDOM

  Phone

  +4401202295000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trade Settlement Routing

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Aldo Fornasiero

  IRN AXF00241

  • [FCA CF] Client dealing (10 May 2021 to 20 May 2022)
  • [FCA CF] Functions requiring qualifications (10 May 2021 to 20 May 2022)
  • [FCA CF] Material risk taker (10 May 2021 to 20 May 2022)
• Caroline Gillian Mills

  IRN CGM01031

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Mar 2022)
  • [FCA CF] Client dealing (since 9 Mar 2022)
  • [FCA CF] Material risk taker (since 9 Mar 2022)
  • SMF16 Compliance Oversight (since 7 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (13 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (8 May 2012 to 8 Dec 2019)
• Colin John William Chalkly-Maber

  IRN CJC01142

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 8 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2022)
  • [FCA CF] Material risk taker (since 8 Mar 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2022)
  • CF3 Chief Executive (1 Dec 2011 to 8 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (10 Jul 2007 to 31 Oct 2007)
  • CF4 Partner (2 Apr 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
• Edward Philip Harvey

  IRN EPH01010

  • [FCA CF] Material risk taker (9 Mar 2022 to 29 Jul 2022)
  • [FCA CF] Client dealing (9 Mar 2022 to 29 Jul 2022)
  • [FCA CF] Functions requiring qualifications (9 Mar 2022 to 29 Jul 2022)
  • SMF27 Partner (9 Dec 2019 to 29 Jul 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 7 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (10 Jul 2007 to 31 Oct 2007)
  • CF10 Compliance Oversight (2 Apr 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Apr 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • CF4 Partner (2 Apr 2007 to 8 Dec 2019)
• George Harry Peach

  IRN GXP00410

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 May 2025)
  • [FCA CF] Client dealing (since 1 May 2025)
• Jamie Lavender

  IRN JML01213

  • CF30 Customer (1 Dec 2011 to 26 Aug 2014)
• Martin John Poole

  IRN MJP00092

  • [FCA CF] Client dealing (1 Apr 2022 to 15 Jul 2022)
  • [FCA CF] Material risk taker (1 Apr 2022 to 15 Jul 2022)
  • [FCA CF] Functions requiring qualifications (1 Apr 2022 to 15 Jul 2022)
  • SMF27 Partner (9 Dec 2019 to 1 Apr 2022)
  • CF4 Partner (20 Nov 2008 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2008 to 8 Dec 2019)
• Matthew David Moncrieffe Walker

  IRN MDW01138

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF27 Partner (since 12 May 2022)
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2022)
  • [FCA CF] Client dealing (since 3 Jan 2022)
  • [FCA CF] Material risk taker (since 3 Jan 2022)
• Michael Cherrett

  IRN MXC01426

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
• Michael John Merridew

  IRN MJM01192

  • CF30 Customer (1 Nov 2007 to 15 Oct 2011)
  • CF27 Investment Management (10 Jul 2007 to 31 Oct 2007)
  • CF4 Partner (2 Apr 2007 to 15 Oct 2011)
  • CF8 Apportionment and Oversight (2 Apr 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • CF3 Chief Executive (2 Apr 2007 to 15 Oct 2011)

No changes recorded yet.