Phillip Bates & Co Financial Services Limited

• Principal Place of Business

  5 Chester Road

  Neston

  Merseyside

  CH64 9PA

  UNITED KINGDOM

  Phone

  +4401513531066

  Web

  https://www.pbatesfs.co.uk

• Complaints Contact

  5 Chester Road

  Neston

  Cheshire

  CH64 9PA

  UNITED KINGDOM

  Phone

  +441513531066

• 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

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  • · 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, Structured Deposits, 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 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, Structured Deposits, 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.

• 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, Structured Deposits, 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.

• Alan John Mellor

  IRN AJM00069

  • 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] Client dealing (since 1 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 9 Dec 2021)
  • CF11 Money Laundering Reporting (2 Jan 2008 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Jan 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (2 Jan 2008 to 30 Sep 2018)
  • CF10 Compliance Oversight (2 Jan 2008 to 8 Dec 2019)
  • CF1 Director (2 Jan 2008 to 8 Dec 2019)
• Diane Hamlin

  IRN DXK00007

  • CF30 Customer (2 Jan 2008 to 23 Dec 2009)
• Elizabeth Jane Webster

  IRN EJW01097

  • CF30 Customer (5 Aug 2011 to 24 Nov 2011)
• Helen Clare Brown

  IRN HCB01039

  • 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
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • CF30 Customer (1 Jun 2009 to 8 Dec 2019)
• Kelly Louise Davies-Jones

  IRN KXD01209

  • CF30 Customer (4 Jan 2010 to 16 Mar 2010)
• Michael Colin Martin

  IRN MCM01088

  • CF30 Customer (1 May 2012 to 19 Dec 2012)
• Philip John Holbrook

  IRN PJH01453

  • CF30 Customer (1 Aug 2012 to 25 Mar 2013)
• Phillip Neil Bates

  IRN PNB00015

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Jan 2008 to 8 Dec 2019)

No changes recorded yet.