3-S Financial Management

• Principal Place of Business

  15 Gold Hill

  Shaftesbury

  Dorset

  SP7 8HB

  UNITED KINGDOM

  Phone

  +4402380222410

  Web

  https://www.3-sfinancial.com

• Complaints Contact

  1 Prospect House

  Tanners Street

  Ramsbottom

  Bury

  Bury

  BL0 9ES

  UNITED KINGDOM

  Phone

  +4407983769606

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

  Show 2 limitations 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.
  • · 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 Advice (no pensions)

  For Commercial, 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.

• 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, 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 Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Keith Howard Sekree

  IRN KHS01015

  • CF30 Customer (1 Nov 2007 to 22 Feb 2013)
  • CF22 Investment Adviser (Trainee) (28 Nov 2005 to 31 Oct 2007)
  • CF4 Partner (28 Nov 2005 to 30 May 2018)
• Kimberley Sare

  IRN KXG01342

  • 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] Functions requiring qualifications (since 18 Mar 2024)
  • [FCA CF] Client dealing (since 18 Mar 2024)
• Mark Alexander Sekree

  IRN MAS01332

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 20 Nov 2019)
  • Responsibility for MCD Intermediation (since 10 Oct 2016)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF11 Money Laundering Reporting (20 Nov 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 Nov 2019 to 8 Dec 2019)
  • CF30 Customer (23 Jan 2008 to 8 Dec 2019)
  • CF4 Partner (23 Jan 2008 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (28 Nov 2005 to 30 Nov 2005)
• Owen Sekree

  IRN OXS00002

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 Nov 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (28 Nov 2005 to 31 Oct 2007)
  • CF3 Chief Executive (28 Nov 2005 to 18 Oct 2019)
  • CF4 Partner (28 Nov 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (28 Nov 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (28 Nov 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (28 Nov 2005 to 25 Nov 2019)
  • CF10 Compliance Oversight (28 Nov 2005 to 25 Nov 2019)
  • CF21 Investment Adviser (28 Nov 2005 to 31 Oct 2007)

No changes recorded yet.