Kieron John Bassett

• Principal Place of Business

  30-32 Victoria Street

  Morecambe

  Lancashire

  LA4 4AJ

  UNITED KINGDOM

  Phone

  +441524832057

  Web

  https://www.kieronbassett.com

• Complaints Contact

  30-32 Victoria Street

  Morecambe

  Lancashire

  LA4 4AJ

  UNITED KINGDOM

  Phone

  +441524832057

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 2 limitations Hide limitations

  • · 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, 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

• 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, 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

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding the administration of debt management plans. In this limitation debt management plans are 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, 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.

• Adam Wayne Elkin

  IRN AWE01013

  • CF30 Customer (1 Nov 2007 to 9 Oct 2009)
  • CF21 Investment Adviser (23 Mar 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (27 May 2003 to 23 Mar 2006)
• Daniel Steven Brown

  IRN DXB02732

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Dec 2024)
  • CF30 Customer (7 Feb 2017 to 8 Dec 2019)
• Jason Stephen Hinde

  IRN JSH01174

  • CF10 Compliance Oversight (11 Oct 2018 to 10 Jul 2019)
  • CF11 Money Laundering Reporting (11 Oct 2018 to 10 Jul 2019)
  • CF30 Customer (15 Oct 2009 to 8 Dec 2019)
• Jenny Croskery

  IRN JXC03241

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jul 2024)
  • CF30 Customer (21 Aug 2018 to 8 Dec 2019)
• Kieron John Bassett

  IRN KJB00014

  • 21. Advising or arranging (bringing about) equity release transactions
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 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
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (10 May 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Dec 2001)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Paul Brett-Smith

  IRN PXB01675

  • CF22 Investment Adviser (Trainee) (2 Sep 2004 to 17 Mar 2005)
• Samantha Josephine McCann

  IRN SJM01602

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 10 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jul 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jul 2024)
  • CF30 Customer (1 Mar 2016 to 8 Dec 2019)
• Samantha Kelly

  IRN SXK00563

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 8 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Dec 2022)
• Tiffany Tamara Sneddon Kendall

  IRN TXK00141

  • [FCA CF] Functions requiring qualifications (9 Dec 2021 to 24 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2021 to 24 Mar 2022)

No changes recorded yet.