Halifax Share Dealing Limited

• Principal Place of Business

  Lloyds Banking Group plc

  11-12 Wellington Place

  Leeds

  LS1 4AP

  UNITED KINGDOM

  Phone

  +441132703685

  Web

  http://www.halifax.co.uk

• Complaints Contact

  Lloyds Banking Group plc

  11-12 Wellington Place

  Leeds

  LS1 4AP

  UNITED KINGDOM

  Phone

  +441132703685

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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)" 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 (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Share, Unit

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  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Paul McMahon

  IRN PXM01312

  • SMF10 Chair of the Risk Committee (1 Nov 2023 to 31 Aug 2024)
• Paul Russell Moore

  IRN PRM01061

  • CF10 Compliance Oversight (31 Dec 2003 to 31 Dec 2004)
• Perry Ian Thomas

  IRN PIT01007

  • SMF7 Group Entity Senior Manager (9 Dec 2019 to 16 Oct 2020)
  • CF2 Non Executive Director (7 Jun 2019 to 8 Dec 2019)
• Peter David Hickman

  IRN PDH01103

  • CF28 Systems and controls (1 Nov 2007 to 16 Jan 2009)
  • CF10 Compliance Oversight (20 Aug 2007 to 16 Jan 2009)
  • CF14 Risk Assessment (20 Aug 2007 to 31 Oct 2007)
  • CF13 Finance (16 May 2005 to 31 Oct 2007)
• Philippa Mary Goldthorpe

  IRN PMC01096

  • [FCA CF] Manager of certification employee (since 19 May 2025)
  • [FCA CF] Significant management (since 17 Dec 2019)
  • [FCA CF] CASS oversight function (17 Dec 2019 to 19 May 2025)
  • [FCA CF] Manager of certification employee (17 Dec 2019 to 20 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 16 Feb 2018)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Rachel Kathryn Brown

  IRN RKB01059

  • CF26 Customer Trading (2 Mar 2005 to 31 May 2006)
• Richard Alan Sunderland

  IRN RAS01314

  • CF30 Customer (31 Mar 2009 to 18 Aug 2011)
• Richard Charles Wilson

  IRN RCW01096

  • CF30 Customer (7 Jul 2010 to 24 Jun 2011)
• Richard John Girling

  IRN RJG01124

  • CF3 Chief Executive (24 Mar 2010 to 31 Jan 2011)
  • CF29 Significant management (1 Nov 2007 to 27 Jan 2014)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Jan 2007 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (9 Mar 2005 to 29 Jan 2007)
• Richard Tomlin

  IRN RXT01435

  • 14. Managing investments
  • [FCA CF] Client dealing (since 16 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2020)
  • CF30 Customer (17 Jun 2009 to 8 Dec 2019)

• The Motley Fool Ltd (no longer appointed)

  FRN 422737 · Appointed 25 Aug 2006 · Until 15 Mar 2015

No changes recorded yet.