James Brearley & Sons Limited

• Principal Place of Business

  Walpole House

  Unit 2 Burton Road

  Blackpool

  Lancs

  FY4 4NW

  UNITED KINGDOM

  Phone

  +4401253831100

  Web

  https://www.jbrearley.co.uk

• Complaints Contact

  Walpole House

  Unit 2 Burton Road

  Blackpool

  Lancs

  FY4 4NW

  UNITED KINGDOM

  Phone

  +4401253831100

• 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 Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trade Settlement Routing

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• David Graham Nichols

  IRN DGN00003

  • CF24 Pension Transfer Specialist (3 Feb 2005 to 20 Jan 2006)
  • CF21 Investment Adviser (3 Feb 2005 to 20 Jan 2006)
  • CF27 Investment Management (3 Feb 2005 to 20 Jan 2006)
• David James Middleton Lindsley

  IRN JXL01311

  • CF30 Customer (1 Nov 2007 to 13 May 2011)
  • CF21 Investment Adviser (4 Nov 2005 to 31 Oct 2007)
  • CF27 Investment Management (4 Nov 2005 to 31 Oct 2007)
• David Vincent Hannis

  IRN DVH01010

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2017 to 14 May 2018)
  • CF10a CASS Oversight function (1 Nov 2017 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (9 Jul 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 Jul 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• David Wesley Murray

  IRN DWM01053

  • CF21 Investment Adviser (1 Dec 2001 to 13 Sep 2005)
• Dean Mark Swindell

  IRN DMS01137

  • CF30 Customer (3 Mar 2008 to 11 Mar 2011)
• Desmond Paul Farrington

  IRN DPF01020

  • CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2002)
  • CF1 Director (1 Dec 2001 to 22 Mar 2002)
• Gareth Ian Edward Dyer

  IRN GID01002

  • CF30 Customer (6 Feb 2015 to 1 Feb 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Gareth James Millington

  IRN GJM01163

  • CF30 Customer (20 Sep 2013 to 26 Jul 2018)
• Helen Johnson

  IRN HXJ01057

  • CF30 Customer (1 Nov 2007 to 15 Feb 2008)
  • CF21 Investment Adviser (26 Sep 2005 to 31 Oct 2007)
  • CF27 Investment Management (26 Sep 2005 to 31 Oct 2007)
• IAN JEFFREY SMITH

  IRN IJS01065

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jun 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2024)
  • CF10 Compliance Oversight (14 May 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (22 Aug 2017 to 8 Dec 2019)
  • CF28 Systems and controls (7 Aug 2012 to 14 Jul 2017)

No changes recorded yet.