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.

• Eric James

  IRN EXJ00166

  • [FCA CF] Client dealing (1 Apr 2025 to 1 Mar 2026)
  • [FCA CF] Functions requiring qualifications (1 Apr 2025 to 1 Mar 2026)
• George Frederick Fordham

  IRN GXF00177

  • [FCA CF] Functions requiring qualifications (5 Apr 2023 to 19 Dec 2024)
  • [FCA CF] Client dealing (13 Mar 2023 to 19 Dec 2024)
• Gordon David Boxshall

  IRN GDB00017

  • CF30 Customer (30 Oct 2017 to 23 Mar 2018)
• Haider Shah

  IRN HXS00556

  • [FCA CF] Client dealing (1 Apr 2025 to 10 Sep 2025)
  • [FCA CF] Functions requiring qualifications (1 Apr 2025 to 10 Sep 2025)
• Husman Olukayode Olumide Osinowo

  IRN OXO00013

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 10 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2020 to 10 Dec 2020)
• James Patros

  IRN JXP00999

  • [FCA CF] Client dealing (23 Jul 2024 to 24 Sep 2025)
• James Vanneck

  IRN JLV00002

  • CF30 Customer (9 Jan 2018 to 12 Feb 2018)
• James William Graham

  IRN JWG00019

  • CF30 Customer (1 Nov 2007 to 3 Jun 2009)
  • CF21 Investment Adviser (21 Mar 2007 to 31 Oct 2007)
• Jason Omar Caballero

  IRN JXC86900

  • 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 7 Oct 2021)
  • [FCA CF] Client dealing (since 7 Oct 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 10 Dec 2020)
  • [FCA CF] Client dealing (29 Jun 2020 to 10 Dec 2020)
• Jean-Michel Morelli

  IRN JXM03634

  • CF30 Customer (15 Oct 2015 to 25 Jan 2016)

• Online IFA Ltd (no longer appointed)

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

No changes recorded yet.