Pilling & Co Stockbrokers Ltd

• Principal Place of Business

  Henry Pilling House

  29 Booth Street

  Manchester

  Lancashire

  M2 4AF

  UNITED KINGDOM

  Phone

  +441618326581

  Web

  https://www.pilling.co.uk

• Complaints Contact

  Henry Pilling House

  29 Booth Street

  Manchester

  Lancashire

  M2 4AF

  UNITED KINGDOM

  Phone

  +441618326581

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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 Eligible Counterparty, 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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  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Trade Settlement Routing

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), 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

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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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Connor Milton

  IRN CXM02843

  • [FCA CF] Client dealing (since 1 Feb 2025)
• Damon Lee Heslop

  IRN DLH01046

  • CF30 Customer (30 Apr 2015 to 12 Sep 2016)
• Daniel Craig Fox

  IRN DCF01014

  • CF30 Customer (25 Jan 2017 to 8 May 2018)
• Darren Williamson

  IRN DXW01747

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• David Bradley

  IRN DXB02636

  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Dec 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Dec 2022)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 12 Dec 2022)
  • CF10a CASS Oversight function (30 Mar 2016 to 8 Dec 2019)
• Dennis Lockhart Morgan

  IRN DLM01037

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
  • CF1 Director (30 Apr 2015 to 8 Dec 2019)
  • CF3 Chief Executive (30 Apr 2015 to 8 Dec 2019)
• James Holman

  IRN JAH01433

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Jun 2015 to 22 Aug 2018)
• James Robert Short

  IRN JRS01306

  • 16. Safeguarding and administering investments or holding client money
  • SMF16 Compliance Oversight (since 3 May 2024)
  • [FCA CF] Functions requiring qualifications (since 12 Dec 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (14 Aug 2023 to 15 May 2024)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• James Webb

  IRN JXW00479

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 8 Aug 2025)
  • [FCA CF] CASS oversight function (since 15 May 2024)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Joseph Leslie Ashton

  IRN JLA01065

  • CF30 Customer (30 Apr 2015 to 12 May 2015)

No changes recorded yet.