Mary Henderson

• Principal Place of Business

  Botanic Financial

  4-5 Crighton Place

  Edinburgh

  Edinburgh, City Of

  EH7 4NZ

  UNITED KINGDOM

  Phone

  +4407931314816

• Complaints Contact

  Botanic Financial

  4-5 Crighton Place

  Edinburgh

  Edinburgh, City Of

  EH7 4NZ

  UNITED KINGDOM

  Phone

  +4407931314816

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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 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

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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 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

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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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Investment Setup

  For 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

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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.

• Angela McDonald

  IRN AXM02477

  • CF30 Customer (1 Feb 2016 to 10 May 2018)
• Caroline Smith

  IRN CXW00117

  • [FCA CF] Client dealing (7 Dec 2020 to 1 Nov 2021)
  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 1 Nov 2021)
• Mary Henderson

  IRN MXH01678

  • 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 7 Dec 2020)
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (18 Jun 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Jun 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (25 Jan 2008 to 31 Jan 2013)
  • CF30 Customer (25 Jan 2008 to 31 Dec 2012)
• Nicola Jones

  IRN NXJ00034

  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 1 Nov 2021)
  • [FCA CF] Client dealing (7 Dec 2020 to 1 Nov 2021)
• Scott James Aitken

  IRN SXA00171

  • [FCA CF] Client dealing (7 Dec 2020 to 30 Aug 2021)
  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 30 Aug 2021)

No changes recorded yet.