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.

• Angus Graham Taylor

  IRN AGT01072

  • CF30 Customer (7 Jul 2015 to 25 Jan 2016)
• Antoine Kattah

  IRN AXK00711

  • [FCA CF] Client dealing (12 May 2023 to 30 Apr 2024)
• Benedict Simon Morgan Thomas

  IRN BST01020

  • CF30 Customer (8 Jul 2014 to 28 May 2015)
• Charley Rose Smith

  IRN CXS00979

  • [FCA CF] Client dealing (13 Feb 2025 to 30 Apr 2025)
  • [FCA CF] Functions requiring qualifications (13 Feb 2025 to 30 Apr 2025)
• Christopher Okwera Nyeko

  IRN CON31020

  • [FCA CF] Client dealing (13 Feb 2025 to 1 Mar 2026)
  • [FCA CF] Functions requiring qualifications (13 Feb 2025 to 1 Mar 2026)
• Daniel John Candy

  IRN DJC01491

  • [FCA CF] Client dealing (28 Jan 2020 to 31 May 2024)
  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 31 May 2024)
  • CF30 Customer (19 May 2015 to 14 Jul 2023)
• Dennis Ian Cole

  IRN DIC00003

  • CF30 Customer (6 Aug 2010 to 1 Dec 2011)
• Desmond Paul Hickey

  IRN DPH00002

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 28 Jan 2020)
  • [FCA CF] Client dealing (since 28 Jan 2020)
  • CF30 Customer (3 Aug 2010 to 14 Jul 2023)
• Diosdado Sunday Dacosta

  IRN DXD84713

  • [FCA CF] Client dealing (12 Jun 2020 to 13 Jun 2020)
• Edward Richardson

  IRN ECR00002

  • CF30 Customer (5 Sep 2012 to 7 Aug 2020)

• Online IFA Ltd (no longer appointed)

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

No changes recorded yet.