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

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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

  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.

• Peter Diver

  IRN PJD01168

  • CF30 Customer (17 May 2011 to 1 Jun 2011)
• Phillip Kyeremateng

  IRN PXK00437

  • [FCA CF] Functions requiring qualifications (18 Jun 2025 to 9 Jul 2025)
  • [FCA CF] Client dealing (18 Jun 2025 to 9 Jul 2025)
• Pritesh Nitin Kakad

  IRN PXK84712

  • [FCA CF] Client dealing (12 Jun 2020 to 13 Jun 2020)
• Raghav Sharma

  IRN RXS02989

  • 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] Client dealing (since 28 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 28 Jan 2020)
  • CF30 Customer (27 Aug 2015 to 14 Jul 2023)
• Rishab Singh

  IRN RXS01058

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

  IRN RXM01996

  • CF30 Customer (22 Jan 2009 to 27 Apr 2009)
• Shane Mark Barry Lee Brown

  IRN SXB81836

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 18 Apr 2021)
  • [FCA CF] Client dealing (4 Jun 2020 to 18 Apr 2021)
• Simon Wrench

  IRN SCW00001

  • CF30 Customer (24 May 2011 to 28 Feb 2012)
• Srikanth Rajgopal

  IRN SXR01318

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 18 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2020 to 18 Apr 2021)
• Suresh Sreedharan

  IRN SXS03065

  • CF30 Customer (14 Jan 2013 to 26 Jul 2018)

• Online IFA Ltd (no longer appointed)

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

No changes recorded yet.