Philip Binfield Limited

• Principal Place of Business

  Station House

  56 Lower Kings Road

  Berkhamsted

  Hertfordshire

  HP4 2AA

  UNITED KINGDOM

  Phone

  +441442871991

• Complaints Contact

  Phillip Binfield Ltd

  Station House

  56 Lower Kings Road

  Berkhamsted

  Hertfordshire

  HP4 2AA

  UNITED KINGDOM

  Phone

  +441442871991

• P2P Lending Advice

  For Professional, Retail (Investment)

• Investment Advice (no pensions)

  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

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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), 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

  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 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

  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.

• Alexander Michael De Gier

  IRN AMD00008

  • CF30 Customer (1 Nov 2007 to 1 Apr 2016)
  • CF8 Apportionment and Oversight (7 Apr 2005 to 31 Mar 2009)
  • CF27 Investment Management (1 Dec 2001 to 20 Apr 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 1 Apr 2016)
• John Leybourne Albert Hodges

  IRN JLH00009

  • CF1 Director (1 Dec 2001 to 31 Mar 2005)
• Karen Louise Smethurst

  IRN KLS01043

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (7 Apr 2005 to 8 Dec 2019)
• Margaret Rose Binfield

  IRN MRB00018

  • CF2 Non Executive Director (1 Dec 2001 to 30 Sep 2004)
• Matthew Nicholas Smethurst

  IRN MNS00001

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 22. Designing scripted questions for execution-only sales of equity release transactions
  • 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 20 Apr 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Michael David Andrew Eley

  IRN MDE01043

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 Aug 2005 to 31 Oct 2007)
• Philip Thomas Binfield

  IRN PTB00004

  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2005)
  • CF3 Chief Executive (1 Dec 2001 to 31 Mar 2005)
  • CF1 Director (1 Dec 2001 to 31 Mar 2005)
• Richard David Cook

  IRN RDC01122

  • CF30 Customer (6 Dec 2011 to 18 Jul 2014)
• Robert Daniel Branfield

  IRN RXB73651

  • 22. Designing scripted questions for execution-only sales of equity release transactions
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
  • [FCA CF] Functions requiring qualifications (since 20 Jan 2025)
  • [FCA CF] Client dealing (since 20 Jan 2025)
• Stuart Thomas Culverhouse

  IRN STC00011

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 22. Designing scripted questions for execution-only sales of equity release transactions
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (1 Apr 2014 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.