Richard Bamber & Company Limited

• Principal Place of Business

  The Old Halsall Arms

  2 Summerwood Lane

  Halsall

  Lancashire

  L39 8RJ

  UNITED KINGDOM

  Phone

  +4401704841411

  Web

  https://www.richardbamber.co.uk

• Complaints Contact

  The Old Halsall Arms

  2 Summerwood Lane

  Halsall

  Lancashire

  L39 8RJ

  UNITED KINGDOM

  Phone

  +4401704841411

• 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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

  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.

• Insurance Admin

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

• Stockbroking

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

• 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

  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.

• Nigel Bruce Murdock

  IRN NBM00003

  • CF1 Director (21 Jan 2005 to 31 Jul 2006)
  • CF10 Compliance Oversight (21 Jan 2005 to 31 Jul 2006)
  • CF11 Money Laundering Reporting (21 Jan 2005 to 31 Jul 2006)
  • CF24 Pension Transfer Specialist (21 Jan 2005 to 31 Jul 2006)
  • CF3 Chief Executive (21 Jan 2005 to 31 Jul 2006)
  • CF8 Apportionment and Oversight (21 Jan 2005 to 31 Jul 2006)
  • CF21 Investment Adviser (7 Apr 2003 to 31 Jul 2006)
• Paul Littler

  IRN PXL00015

  • CF30 Customer (1 Nov 2007 to 6 Jul 2018)
  • CF21 Investment Adviser (7 Apr 2003 to 31 Oct 2007)
  • CF1 Director (7 Apr 2003 to 17 Oct 2019)
• Peter Crossley

  IRN PXC00046

  • CF21 Investment Adviser (6 Feb 2004 to 10 Dec 2004)
  • CF22 Investment Adviser (Trainee) (7 Apr 2003 to 6 Feb 2004)
• Philip Raodh Clerkin

  IRN PRC00062

  • CF30 Customer (10 Jan 2013 to 13 Sep 2013)
• Philip Thomas Leggett

  IRN PXL00068

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
• Richard Bamber

  IRN RXB00039

  • [FCA CF] Significant management (since 1 Dec 2020)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 7 Apr 2025)
  • CF2 Non Executive Director (4 Dec 2019 to 8 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 7 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 4 Dec 2019)
  • CF11 Money Laundering Reporting (8 Aug 2006 to 4 Dec 2019)
  • CF10 Compliance Oversight (8 Aug 2006 to 4 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (7 Apr 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (7 Apr 2003 to 31 Oct 2007)
  • CF1 Director (7 Apr 2003 to 4 Dec 2019)
  • CF3 Chief Executive (7 Apr 2003 to 21 Jan 2005)
  • CF8 Apportionment and Oversight (7 Apr 2003 to 21 Jan 2005)
• Richard Michael Bamber

  IRN RXB00258

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Significant management (since 1 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2020)
  • SMF16 Compliance Oversight (since 30 Jan 2020)
  • Responsible for Insurance Distribution (since 30 Jan 2020)
  • SMF1 Chief Executive (since 30 Jan 2020)
  • SMF3 Executive Director (since 30 Jan 2020)
  • CF30 Customer (13 Mar 2013 to 8 Dec 2019)
• Ronald Davenport Wilson

  IRN RDW00006

  • CF22 Investment Adviser (Trainee) (8 Jul 2003 to 22 Dec 2006)
• Stephen Geoffrey Mallard

  IRN SGM00022

  • CF21 Investment Adviser (7 Apr 2003 to 10 Jun 2005)

No changes recorded yet.