Frazer James Ltd

• Principal Place of Business

  Frazer James

  Square Works

  17 - 18 Berkeley Square

  Bristol

  BS8 1HB

  UNITED KINGDOM

  Phone

  +4401179902602

  Web

  https://www.frazerjames.co.uk

• Complaints Contact

  Frazer James

  Square Works

  17-18 Berkeley Square

  Bristol

  Somerset

  BS8 1HB

  UNITED KINGDOM

  Phone

  +4401179902602

• 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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, 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, 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.

• 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, 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 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.

• Christopher James Hindle

  IRN CXH13178

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 27 Jun 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Dec 2025)
  • CF1 Director (27 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Jun 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Jun 2019 to 8 Dec 2019)
• James Mackay

  IRN JXM03806

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
  • CF1 Director (27 Jun 2019 to 8 Dec 2019)
• James William Whittington

  IRN JWW01102

  • [FCA CF] Functions requiring qualifications (26 Apr 2021 to 30 Sep 2022)
  • [FCA CF] Client dealing (26 Apr 2021 to 30 Sep 2022)
• Lewis John Pollexfen

  IRN LXP00231

  • 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 Jun 2025)
  • [FCA CF] Client dealing (since 9 Jun 2025)
• Paula Butrynska

  IRN PXB00451

  • [FCA CF] Functions requiring qualifications (10 Mar 2022 to 10 May 2022)

No changes recorded yet.