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

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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.

• Michael William Jervis Chapman

  IRN MWC01047

  • CF30 Customer (14 Jan 2008 to 11 Mar 2008)
• Nicholas Paul Chetwood

  IRN NPC01088

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF1 Chief Executive (since 9 May 2022)
  • [FCA CF] Client dealing (since 7 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2022)
  • [FCA CF] Material risk taker (since 7 Mar 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Apr 2016 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
• Robert Ian Hipkiss

  IRN RIH01023

  • CF30 Customer (13 Oct 2008 to 31 Dec 2013)
• Sam Atkinson

  IRN SXA02475

  • [FCA CF] Client dealing (3 Apr 2023 to 1 Aug 2025)
  • [FCA CF] Functions requiring qualifications (3 Apr 2023 to 1 Aug 2025)
• Skye Dorothy Ruth Chalkly-Pereira

  IRN SXC62854

  • 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 7 Mar 2022)
  • [FCA CF] Material risk taker (since 7 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2022)
  • SMF27 Partner (since 18 Jun 2020)
• Steven Noel Jeffery

  IRN SNJ01005

  • CF30 Customer (8 Oct 2008 to 31 Dec 2013)
• Thomas George Morgan

  IRN TGM01039

  • CF30 Customer (29 Sep 2014 to 16 Nov 2018)

No changes recorded yet.