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

  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.

• Keith Ronald Whittaker

  IRN KRW00017

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (19 Sep 2007 to 31 Oct 2007)
• Lynn Jane Hyde

  IRN LJH00017

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Mar 2006 to 31 Oct 2007)
• Mark David Harvey

  IRN MDH00024

  • CF1 Director (6 Jul 2004 to 31 Jul 2005)
• Mark James Cassidy

  IRN MXC00030

  • CF30 Customer (21 Jan 2008 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Oct 2008)
  • CF1 Director (6 Jul 2004 to 31 Oct 2008)
• Mark Stephen Carroll

  IRN MSC00014

  • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
  • CF22 Investment Adviser (Trainee) (24 Apr 2007 to 31 Oct 2007)
• Matthew Freemantle

  IRN MXF02024

  • [FCA CF] Client dealing (12 Feb 2025 to 18 Feb 2026)
  • [FCA CF] Functions requiring qualifications (12 Feb 2025 to 18 Feb 2026)
• Paul Anthony Trahearn

  IRN PXT00306

  • 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] Client dealing (since 20 Feb 2024)
  • [FCA CF] Functions requiring qualifications (since 20 Feb 2024)
• Richard Peter Harris

  IRN RXH00260

  • [FCA CF] Client dealing (1 Oct 2020 to 3 Nov 2023)
  • [FCA CF] Functions requiring qualifications (1 Oct 2020 to 3 Nov 2023)
• Samuel Robert Brueton

  IRN SXB08539

  • 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
  • Responsible for Insurance Distribution (since 6 May 2025)
  • SMF16 Compliance Oversight (since 27 Mar 2024)
  • [FCA CF] Manager of certification employee (since 1 Feb 2024)
  • SMF3 Executive Director (since 15 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 Nov 2018 to 8 Dec 2019)
• Sharon Marjorie Almond

  IRN SMA01087

  • CF30 Customer (16 Oct 2009 to 9 Nov 2010)

• James Gregory Financial Consultants Ltd (no longer appointed)

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

No changes recorded yet.