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.

• Terence Paul Murphy

  IRN TPM00004

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (AR) (4 Jul 2013 to 14 Jul 2023)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF10 Compliance Oversight (21 Mar 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (21 Mar 2007 to 30 Sep 2018)
  • CF1 Director (21 Mar 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Mar 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (21 Mar 2007 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (21 Mar 2007 to 8 Dec 2019)
• Thasos Costas Michael

  IRN TXC01613

  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 27 Feb 2023)
  • [FCA CF] Client dealing (28 Jan 2020 to 27 Feb 2023)
  • CF30 Customer (16 May 2016 to 8 Dec 2019)
• Thomas Liam O'Brien

  IRN TLO01003

  • CF30 Customer (5 Nov 2009 to 26 Feb 2010)
• Tobias Appaya-Bagot

  IRN TXA00166

  • [FCA CF] Client dealing (22 Mar 2022 to 10 Sep 2025)
  • [FCA CF] Functions requiring qualifications (22 Mar 2022 to 10 Sep 2025)
• Tom Divall

  IRN TXD81899

  • [FCA CF] Client dealing (11 Jan 2021 to 31 Dec 2025)
  • [FCA CF] Functions requiring qualifications (11 Jan 2021 to 31 Dec 2025)
• William Knight

  IRN WXK00088

  • [FCA CF] Client dealing (7 Aug 2024 to 10 Sep 2025)

• Online IFA Ltd (no longer appointed)

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

No changes recorded yet.