Humboldt Financial Limited

• Principal Place of Business

  Swan House

  33 Queen Street

  London

  EC4R 1AP

  UNITED KINGDOM

  Phone

  +448081963686

  Web

  https://www.humboldtfinancial.co.uk

• Complaints Contact

  Swan House

  33 Queen Street

  London

  EC4R 1AP

  UNITED KINGDOM

  Phone

  +448081963686

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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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  • · 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.
  • · 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 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

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Aimee Carhart

  IRN AXC00916

  • [FCA CF] Client dealing (1 Jun 2023 to 12 Jan 2024)
  • [FCA CF] Functions requiring qualifications (12 Oct 2022 to 12 Jan 2024)
• Alexander Symonds

  IRN AXS00283

  • [FCA CF] Functions requiring qualifications (23 Sep 2022 to 5 Oct 2022)
• Callum Jack Woodward

  IRN CXW00353

  • [FCA CF] Client dealing (7 Sep 2021 to 28 Mar 2022)
• Edward Brophy

  IRN EXB00559

  • 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)
  • [FCA CF] Client dealing (since 14 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 14 Nov 2025)
• Elliott Simmonds

  IRN EXS00476

  • 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)
  • [FCA CF] Functions requiring qualifications (since 10 Nov 2025)
  • [FCA CF] Client dealing (since 10 Nov 2025)
• Francis Gill

  IRN FXG01253

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (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)
  • Responsibility for MCD Intermediation (since 10 Sep 2019)
  • Responsible for Insurance Distribution (since 10 Sep 2019)
  • CF30 Customer (10 Sep 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Sep 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Sep 2019 to 8 Dec 2019)
  • CF1 Director (10 Sep 2019 to 8 Dec 2019)
• Harrison Thomas

  IRN HXT00231

  • 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 1 Oct 2025)
  • [FCA CF] Client dealing (since 1 Oct 2025)
• Heather Rafter

  IRN HXR00324

  • [FCA CF] Manager of certification employee (since 4 Mar 2026)
• Imogen Edwards

  IRN IXE00057

  • 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)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2025)
  • [FCA CF] Client dealing (since 1 Oct 2025)
• Jack Ballard

  IRN JXB01388

  • [FCA CF] Client dealing (4 Jul 2023 to 27 Feb 2025)
  • [FCA CF] Functions requiring qualifications (1 Aug 2022 to 27 Feb 2025)

No changes recorded yet.