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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  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 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• Jude Nugent

  IRN JXN00407

  • [FCA CF] Client dealing (since 8 Dec 2025)
  • [FCA CF] Material risk taker (8 Dec 2025 to 9 Feb 2026)
• Kyle John Harrison

  IRN KXH06738

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Oct 2018 to 8 Dec 2019)
• Liam Fletcher

  IRN LXF00105

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
• Michael Robert Talbot

  IRN MRT01107

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• Michael Tattersall

  IRN MXT01171

  • CF30 Customer (30 Apr 2015 to 8 May 2018)
• Nicola Gibbs

  IRN NJT01114

  • [FCA CF] CASS oversight function (12 Dec 2022 to 14 Aug 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Apr 2024)
  • CF10 Compliance Oversight (21 Jun 2017 to 8 Dec 2019)
  • CF10a CASS Oversight function (30 Apr 2015 to 30 Mar 2016)
• Nigel Barry Moore

  IRN NBM01008

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• Nigel Barry Thompson

  IRN NXT00091

  • [FCA CF] Material risk taker (9 Dec 2019 to 8 Dec 2021)
• Paul James Scanlon

  IRN PXS00687

  • [FCA CF] Material risk taker (14 Jul 2023 to 9 Feb 2026)
• Peter John Jacques

  IRN PXJ00116

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Aug 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Aug 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 8 Aug 2025)

No changes recorded yet.