T B Patterson Associates

• Principal Place of Business

  The Old Brewery

  Castle Eden

  Durham

  TS27 4SU

  UNITED KINGDOM

  Phone

  +4401913734221

  Web

  https://www.tbpatterson.co.uk

• Complaints Contact

  The Old Brewery

  Castle Eden

  County Durham

  TS27 4SU

  UNITED KINGDOM

  Phone

  +4401913734221

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Credit Brokering

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  • · Limited to broking for the purpose of Buy to Let mortgages

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

  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.

• Allison Patterson

  IRN AXP01640

  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
  • CF4 Partner (1 Jun 2005 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 Jun 2005 to 20 Sep 2006)
• Claire Louise Trott

  IRN CLB01082

  • CF24 Pension Transfer Specialist (5 May 2005 to 31 Oct 2005)
• Craig James Millar Moffat

  IRN CJM01389

  • CF30 Customer (29 Dec 2009 to 22 Nov 2011)
• Helen Ruth Craft

  IRN HRC01015

  • CF30 Customer (1 Nov 2007 to 27 Jun 2012)
  • CF24 Pension Transfer Specialist (5 May 2005 to 31 Oct 2007)
• Jamie Stuart

  IRN JXS03485

  • 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 1 Dec 2020)
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • CF30 Customer (1 Mar 2019 to 8 Dec 2019)
• Mark William Lloyd

  IRN MWL00005

  • CF21 Investment Adviser (1 Dec 2001 to 6 May 2005)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 6 May 2005)
• Michael Neil Patterson

  IRN MNP00001

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 26 Jul 2023)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Nov 2007)
• Nicky Wardle

  IRN NXW01135

  • CF30 Customer (6 Dec 2012 to 20 Apr 2016)
• Steven Paul Bloomfield

  IRN SPB01157

  • CF30 Customer (25 Apr 2016 to 22 Feb 2019)
• Thomas Barry Patterson

  IRN TBP00001

  • CF30 Customer (1 Nov 2007 to 19 Jan 2011)
  • CF4 Partner (1 Dec 2001 to 23 Apr 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.