Herbert Scott Ltd

• Principal Place of Business

  Herbert Scott

  The Left Bank

  173 High Street

  Lewes

  East Sussex

  BN7 1YE

  UNITED KINGDOM

  Phone

  +4401273407500

  Web

  https://www.herbertscott.co.uk

• Complaints Contact

  Herbert Scott Ltd

  The Left Bank

  173 High Street

  Lewes

  East Sussex

  BN7 1YE

  UNITED KINGDOM

  Phone

  +4401273407500

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

  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.

• 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

  Show 1 limitation Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

  Show 1 limitation Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Alan John Hare

  IRN AJH00008

  • CF21 Investment Adviser (24 Nov 2005 to 22 Jan 2006)
  • CF22 Investment Adviser (Trainee) (1 Nov 2004 to 24 Nov 2005)
• Alicia Charlotte Buckingham

  IRN AXB01328

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 1 May 2023)
  • [FCA CF] Client dealing (since 1 May 2023)
• Andrew Bernard Harvey Bridgewater

  IRN AXB00056

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 1 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2022)
• Benedict Nolan

  IRN BXN15807

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF3 Executive Director (since 16 Feb 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
• Claire Hudson

  IRN CLH00026

  • CF30 Customer (1 Apr 2009 to 26 Mar 2014)
• David Gerald Herbert

  IRN DGH00004

  • SMF16 Compliance Oversight (18 Aug 2020 to 30 Jan 2023)
  • Responsible for Insurance Distribution (18 Aug 2020 to 30 Jan 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (18 Aug 2020 to 30 Jan 2023)
  • SMF3 Executive Director (9 Dec 2019 to 1 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 26 Apr 2016)
  • CF10 Compliance Oversight (1 Dec 2001 to 26 Apr 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 26 Apr 2016)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Hannah Bibby

  IRN HXB01390

  • SMF3 Executive Director (since 12 Sep 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Sep 2025)
  • SMF16 Compliance Oversight (since 12 Sep 2025)
  • Responsible for Insurance Distribution (since 12 Sep 2025)
  • Responsibility for MCD Intermediation (since 12 Sep 2025)
• Ian Shuster

  IRN IXS00005

  • CF30 Customer (1 Nov 2007 to 30 Sep 2009)
  • CF1 Director (1 Dec 2001 to 30 Sep 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Arthur Sclater

  IRN JAS01181

  • [FCA CF] Functions requiring qualifications (1 Dec 2024 to 5 Dec 2025)
  • [FCA CF] Client dealing (1 Dec 2024 to 5 Dec 2025)
• Jennie Snooks

  IRN JXS03901

  • SMF3 Executive Director (since 16 Feb 2024)

No changes recorded yet.