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.

• Jennifer Goldsmith

  IRN JXG00017

  • CF30 Customer (15 Apr 2010 to 17 May 2010)
• Joseph John Holmes

  IRN JXH01083

  • [FCA CF] Client dealing (13 Mar 2023 to 30 Apr 2024)
• Joseph Treacher

  IRN JXT00566

  • [FCA CF] Client dealing (15 Mar 2023 to 30 Jun 2023)
• Kieron John Robertson

  IRN KJR00023

  • CF30 Customer (1 Nov 2007 to 1 Apr 2008)
  • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
• Mark Alastair Lloyd Dodsworth

  IRN MXD00036

  • CF30 Customer (26 Aug 2011 to 28 Feb 2012)
• Mark Okechukwu Iheanacho

  IRN MOI00001

  • CF30 Customer (4 Aug 2010 to 21 Dec 2010)
• Matthew O'Connor

  IRN MXO00280

  • [FCA CF] Client dealing (7 Aug 2024 to 30 Apr 2025)
• Michael Gerard De Rosa

  IRN MGD00032

  • CF30 Customer (14 Jan 2013 to 28 Jan 2013)
• Nicholas James Alvarez

  IRN NXA00221

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 24 Aug 2022)
  • [FCA CF] Client dealing (since 24 Aug 2022)
• Oliver Hillsdon

  IRN OXH00057

  • [FCA CF] Functions requiring qualifications (24 Aug 2022 to 31 Aug 2023)
  • [FCA CF] Client dealing (24 Aug 2022 to 31 Aug 2023)

• Online IFA Ltd (no longer appointed)

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

No changes recorded yet.