Robert Bruce Associates Limited

• Principal Place of Business

  73 St. Leonards Road

  Northampton

  Northamptonshire

  NN4 8DN

  UNITED KINGDOM

  Phone

  +441604760766

  Web

  https://www.robertbrucefp.com

• Complaints Contact

  73 St. Leonards Road

  Northampton

  Northamptonshire

  NN4 8DN

  UNITED KINGDOM

  Phone

  +441604760766

• 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, 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.

• Andrew James Frankland

  IRN AJF01291

  • SMF3 Executive Director (9 Dec 2019 to 3 Nov 2020)
  • CF1 Director (24 Sep 2018 to 8 Dec 2019)
  • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
• Bruce Richard Janman

  IRN BRJ01014

  • CF1 Director (AR) (since 23 Jan 2026)
  • [FCA CF] Manager of certification employee (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)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Nov 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Nov 2024)
  • Responsible for Insurance Mediation (8 Apr 2014 to 30 Sep 2018)
  • CF30 Customer (8 Apr 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Apr 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Apr 2014 to 8 Dec 2019)
  • CF1 Director (8 Apr 2014 to 8 Dec 2019)
• Cornelia Keech

  IRN CXK00242

  • 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] Functions requiring qualifications (since 5 Oct 2023)
  • [FCA CF] Client dealing (since 5 Oct 2023)
• David Binks

  IRN DXB00116

  • CF30 Customer (8 Apr 2014 to 25 Mar 2019)
• Ian James Bird

  IRN IJB00001

  • CF30 Customer (25 Feb 2016 to 4 Jun 2018)
• Jacqueline Anne Hainsby

  IRN JAH01359

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Mar 2022)
  • CF30 Customer (8 Apr 2014 to 8 Dec 2019)
• Janine Marie Brabbins

  IRN JXB04027

  • SMF3 Executive Director (since 22 May 2025)
• John Andrew Cashman

  IRN JAC01286

  • 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] Functions requiring qualifications (since 15 Feb 2021)
  • [FCA CF] Client dealing (since 15 Feb 2021)
• Michael Thomas Brown

  IRN MTB00010

  • CF30 Customer (8 Apr 2014 to 8 Apr 2016)

• Robert Bruce Private Clients Ltd

  FRN 913723 · Appointed 19 Sep 2019

No changes recorded yet.