William Braddock LLP

Date authorised
2 May 2019
Companies House
OC425933
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Rookery Lane Farm House
    Topcroft
    Bungay
    Suffolk
    NR35 2BN
    UNITED KINGDOM
    Phone
    +441508482230

  • Complaints Contact

    Rookery Lane Farm House
    Topcroft
    Bungay
    Suffolk
    NR35 2BN
    UNITED KINGDOM
    Phone
    +441508482230

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Thomas William Braddock

    IRN TWB01071

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2026)
    • Responsible for Insurance Distribution (since 1 Apr 2026)
    • SMF16 Compliance Oversight (since 1 Apr 2026)
    • [FCA CF] Client dealing (since 8 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 8 Nov 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (2 May 2019 to 8 Dec 2019)
    • CF30 Customer (2 May 2019 to 8 Dec 2019)
  • William Frederick Braddock

    IRN WFB00001

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 8 Nov 2020)
    • [FCA CF] Client dealing (since 8 Nov 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Apr 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2026)
    • CF4 Partner (2 May 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (2 May 2019 to 1 Apr 2026)
    • CF10 Compliance Oversight (2 May 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 May 2019 to 8 Dec 2019)
    • CF30 Customer (2 May 2019 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.