Thornton & Baines Independent Financial Advisers Limited

• Principal Place of Business

  28-29th Floor

  30 St Mary Axe

  London

  EC3A 8BF

  UNITED KINGDOM

  Phone

  +4402071830136

  Web

  https://www.tabifa.com

• Complaints Contact

  28-29th Floor

  30 St. Mary Axe

  London

  City Of London

  EC3A 8BF

  UNITED KINGDOM

  Phone

  +4402071830136

• 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

  Show 2 limitations Hide limitations

  • · 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This Permission is limited to debt counselling which is provided in connection with investment advice on buy to let mortgages also residential mortgages.
  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Aaron Gwyther

  IRN AXG00728

  • [FCA CF] Functions requiring qualifications (16 Aug 2024 to 1 Mar 2026)
  • [FCA CF] Client dealing (20 Mar 2023 to 1 Mar 2026)
• Akelachi Omudu

  IRN AXO81837

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 10 Dec 2020)
  • [FCA CF] Client dealing (4 Jun 2020 to 10 Dec 2020)
• Alan Chan

  IRN AXC02118

  • CF30 Customer (5 Jul 2013 to 30 Aug 2013)
• Alan Peter Miller

  IRN APM00066

  • CF30 Customer (22 Jun 2011 to 24 Nov 2011)
• Alan Robert McKelvey

  IRN ARM00029

  • CF30 Customer (1 Jul 2009 to 14 Mar 2012)
  • CF21 Investment Adviser (26 Sep 2007 to 31 Oct 2007)
• Alexis William Taylor

  IRN AWT00001

  • CF30 Customer (13 Jul 2016 to 8 Dec 2019)
• Alfie Thomas Curtis-Barnes

  IRN AXC01039

  • [FCA CF] Client dealing (13 Mar 2023 to 14 Jun 2023)
• Alice Jane Maguire

  IRN AJM01802

  • CF30 Customer (9 Jan 2018 to 7 Jan 2019)
• Andrew David Oliver

  IRN ADO00004

  • 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] Client dealing (since 2 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2024)
  • CF30 Customer (17 Jul 2013 to 1 Aug 2020)
• Andrew Sidney Damiral

  IRN AXD00605

  • [FCA CF] Functions requiring qualifications (24 Aug 2022 to 14 Jun 2023)
  • [FCA CF] Client dealing (24 Aug 2022 to 14 Jun 2023)

• Online IFA Ltd (no longer appointed)

  FRN 596105 · Appointed 21 Feb 2013 · Until 17 Jul 2023

No changes recorded yet.