Independent Investment Associates Limited

• Principal Place of Business

  Cragdale House

  Kents Bank Road

  Grange-over-Sands

  Cumbria

  LA11 7EY

  UNITED KINGDOM

  Phone

  +441539536964

  Web

  https://www.iialtd.co.uk

• Complaints Contact

  Cragdale House

  Kents Bank Road

  Grange-over-Sands

  Cumbria

  LA11 7EY

  UNITED KINGDOM

  Phone

  +441539536964

• 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

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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, 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.

• 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

  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 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.

• Andrew James Troughton

  IRN AJT00062

  • 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)
  • 9A. Advising on P2P agreements
  • SMF16 Compliance Oversight (since 10 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (26 May 2015 to 8 Dec 2019)
• Barry Robert Summers

  IRN BRS00015

  • CF21 Investment Adviser (19 Sep 2005 to 29 Mar 2006)
  • CF22 Investment Adviser (Trainee) (25 May 2005 to 19 Sep 2005)
• Christopher John Hill

  IRN CJH01274

  • 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)
  • SMF3 Executive Director (since 1 Jun 2025)
  • [FCA CF] Client dealing (since 6 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2022)
• Daniel James Birch

  IRN DJB01666

  • 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 2 Jan 2024)
  • [FCA CF] Client dealing (since 2 Jan 2024)
• Gary Richardson

  IRN GXR00090

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 May 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Jan 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jan 2003 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Jan 2003 to 25 Aug 2015)
• Ian David Hartley

  IRN IDH01044

  • 9A. Advising on P2P agreements
  • 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 28 May 2025)
  • SMF3 Executive Director (since 7 Aug 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (26 Jan 2019 to 8 Dec 2019)
• Jason Crane

  IRN JXC01796

  • 9A. Advising on P2P agreements
  • 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)
  • 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)
  • CF11 Money Laundering Reporting (24 Aug 2015 to 8 Dec 2019)
  • CF1 Director (4 Feb 2014 to 8 Dec 2019)
  • CF30 Customer (6 Jul 2009 to 8 Dec 2019)
• Leigh Steven Hornby

  IRN LSH00001

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 May 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Jan 2003 to 8 Dec 2019)
  • CF1 Director (1 Jan 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jan 2003 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Jan 2003 to 31 Mar 2009)
• Louise Elizabeth Smith

  IRN LES01034

  • CF30 Customer (5 Feb 2018 to 19 Jun 2018)
• Philip Roy Martin

  IRN PRM00036

  • CF11 Money Laundering Reporting (17 Feb 2009 to 23 Feb 2009)
  • CF10 Compliance Oversight (17 Feb 2009 to 23 Feb 2009)

No changes recorded yet.