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

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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, 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

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  • · 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.

• Jacqueline Margaret Leiper

  IRN JML01229

  • [FCA CF] Manager of certification employee (25 Mar 2025 to 9 Apr 2025)
  • [FCA CF] Material risk taker (1 Sep 2024 to 30 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (1 Sep 2024 to 30 Apr 2025)
  • SMF3 Executive Director (1 Aug 2023 to 31 Aug 2024)
  • SMF7 Group Entity Senior Manager (17 May 2021 to 1 Aug 2023)
• James Andrew Goldthorpe

  IRN JAG01130

  • CF30 Customer (1 Nov 2007 to 1 Dec 2014)
  • CF26 Customer Trading (1 Dec 2001 to 22 Aug 2003)
• James Bernard Corcoran

  IRN JBC01055

  • CF2 Non Executive Director (1 Dec 2001 to 16 Dec 2003)
• James Christopher Steuart Hillman

  IRN JCH01251

  • SMF2 Chief Finance (19 Mar 2020 to 31 Aug 2023)
• James William Russell Davies

  IRN JWD01054

  • CF11 Money Laundering Reporting (21 Jun 2007 to 16 Mar 2008)
  • CF2 Non Executive Director (2 Apr 2007 to 15 Jun 2007)
  • CF10 Compliance Oversight (10 Jan 2005 to 17 Aug 2005)
• James Wood

  IRN JXW02216

  • [FCA CF] Client dealing (16 Jan 2020 to 24 Jul 2023)
  • [FCA CF] Functions requiring qualifications (16 Jan 2020 to 24 Jul 2023)
  • CF30 Customer (22 Nov 2013 to 8 Dec 2019)
• Jaskanwaljit Garcha-Davies

  IRN JXG01002

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Mar 2026)
• Jeff Edward Sayers

  IRN JES01088

  • SMF7 Group Entity Senior Manager (11 Jun 2020 to 31 Dec 2020)
• Joanna Kate Harris

  IRN JXH22552

  • SMF7 Group Entity Senior Manager (1 Sep 2024 to 4 Jun 2025)
• Joanne Dawson

  IRN JXD01372

  • CF10 Compliance Oversight (23 Mar 2005 to 1 Mar 2006)
  • CF14 Risk Assessment (23 Mar 2005 to 1 Mar 2006)

• The Motley Fool Ltd (no longer appointed)

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

No changes recorded yet.