Pembroke Asset Management LLP

• Principal Place of Business

  Pembroke Asset Management LLP

  1 Pembroke Road

  Clifton

  Bristol

  BS8 3AU

  UNITED KINGDOM

  Phone

  +441179735291

  Web

  https://www.pembrokeam.co.uk

• Complaints Contact

  Pembroke Asset Management LLP

  1 Pembroke Road

  Clifton

  Bristol

  BS8 3AU

  UNITED KINGDOM

  Phone

  +441179735291

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• 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

• Authorised to Operate

• 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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

• Insurance Admin

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

• Stockbroking

  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

• 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

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Stakeholder pension scheme, Unit, Warrant

• Benedict Mark Appleby

  IRN BMA00001

  • Responsible for Insurance Distribution (1 Oct 2018 to 16 Nov 2018)
  • CF10 Compliance Oversight (15 Jun 2012 to 16 Mar 2017)
  • CF30 Customer (1 Nov 2007 to 15 Aug 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Apr 2004 to 31 Oct 2007)
  • CF4 Partner (1 Apr 2004 to 16 Nov 2018)
  • CF27 Investment Management (1 Apr 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Apr 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
• Kevin Clive Day

  IRN KCD01013

  • 17. Administrative functions in relation to managing investments
  • 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
  • 14. Managing investments
  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 16 Nov 2018)
  • CF10 Compliance Oversight (31 Oct 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (1 Apr 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 Apr 2007 to 31 Oct 2007)
• Leonie Anne Day

  IRN LAD01084

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (13 May 2013 to 8 Dec 2019)
• Michael John Butterfield

  IRN MJB00022

  • CF30 Customer (1 Nov 2007 to 7 Jun 2012)
  • CF27 Investment Management (1 Apr 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Apr 2004 to 7 Jun 2012)
  • CF4 Partner (1 Apr 2004 to 7 Jun 2012)
  • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
• Nicholas James Batchelor

  IRN NJB01306

  • 16. Safeguarding and administering investments or holding client money
  • 14. Managing investments
  • 11. Pension transfer specialist
  • 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
  • 17. Administrative functions in relation to managing investments
  • SMF27 Partner (since 24 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Jun 2017 to 8 Dec 2019)
• Samuel George Day

  IRN SXD00956

  • [FCA CF] Functions requiring qualifications (29 Sep 2025 to 31 Mar 2026)
• Shaun Jeremy Day

  IRN SJD00003

  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
  • CF27 Investment Management (1 Apr 2004 to 31 Oct 2007)
  • CF4 Partner (1 Apr 2004 to 8 Dec 2019)
• Sylvia Dorothy Butterfield

  IRN SDB00004

  • CF4 Partner (1 Apr 2004 to 31 Mar 2013)

No changes recorded yet.