HCL BANK HOUSE FINANCIAL SERVICES LIMITED

• Principal Place of Business

  1 Church Road

  Brewood

  Stafford

  Staffordshire

  ST19 9BT

  UNITED KINGDOM

  Phone

  +441902851140

  Web

  http://www.bankhousefp.co.uk

• Complaints Contact

  1 Church Road

  Brewood

  Stafford

  Staffordshire

  ST19 9BT

  UNITED KINGDOM

  Phone

  +4401902851140

• 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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  • · 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 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 Advice (no pensions)

  For Commercial, 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, 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Investment Setup

  For Commercial, 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.

• Alan Peter Ward

  IRN APW00020

  • CF21 Investment Adviser (14 Jul 2004 to 29 Dec 2006)
• Andrew Gregory Giddings

  IRN AGG00011

  • CF1 Director (AR) (30 Apr 2009 to 30 Dec 2009)
  • CF30 Customer (1 Nov 2007 to 6 Apr 2009)
  • CF21 Investment Adviser (22 Mar 2006 to 31 Oct 2007)
• Antony Edward Lea

  IRN AEL00004

  • 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
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 25 Jul 2023)
  • CF30 Customer (10 Jan 2008 to 8 Dec 2019)
  • CF3 Chief Executive (6 Jul 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (6 Jul 2004 to 30 Dec 2005)
  • CF11 Money Laundering Reporting (6 Jul 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Jul 2004 to 22 Jan 2009)
  • CF1 Director (6 Jul 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 Jul 2004 to 31 Mar 2009)
• BENEDICT PETER MICHELL

  IRN BPM01060

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (10 Jan 2018 to 8 Dec 2019)
• Cameron Stewart Fox

  IRN CXF00096

  • 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 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• David Anthony Hipkiss

  IRN DAH00007

  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Mar 2024)
  • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jan 2024)
  • CF10 Compliance Oversight (26 Jan 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (6 Jul 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (6 Jul 2004 to 31 Oct 2007)
• Hannah Megan Davies Garratt

  IRN HXG00197

  • 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
  • SMF3 Executive Director (since 30 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 14 Feb 2024)
  • [FCA CF] Client dealing (since 14 Feb 2024)
• Helen Jane Spence

  IRN HJS00024

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2025)
  • CF30 Customer (8 Jan 2013 to 8 Dec 2019)
• Jonathan Edward Bradburn

  IRN JEB01210

  • CF30 Customer (5 Jan 2010 to 21 Dec 2010)
• Jonathan Kenneth Day

  IRN JKD00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2025)
  • CF30 Customer (1 Mar 2010 to 8 Dec 2019)

• James Gregory Financial Consultants Ltd (no longer appointed)

  FRN 498958 · Appointed 6 Apr 2009 · Until 30 Dec 2009

No changes recorded yet.