44 Financial Limited

Date authorised
1 April 2013
Companies House
07120349
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Pera Business Park
    Nottingham Road
    Melton Mowbray
    Leicestershire
    LE13 0PB
    UNITED KINGDOM
    Phone
    +4401163800133
    Web
    https://www.44financial.co.uk

  • Complaints Contact

    Pera Business Park
    Nottingham Road
    Melton Mowbray
    Leicestershire
    LE13 0PB
    UNITED KINGDOM
    Phone
    +4401163800133

What this firm is allowed to do

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

  • 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
    • · 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, 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
    • · 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, Structured Deposits, 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.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management 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, Structured Deposits, 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.

  • Robert Paul Noble

    IRN RPN00002

    • CF1 Director (AR) (7 Jun 2017 to 7 Nov 2023)
  • Steven Clark

    IRN SJC00038

    • 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)
    • SMF3 Executive Director (since 1 Nov 2023)
    • [FCA CF] Functions requiring qualifications (since 17 May 2022)
    • [FCA CF] Significant management (since 17 May 2022)
    • [FCA CF] Client dealing (since 17 May 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (12 Aug 2022 to 7 Nov 2023)
    • Appointed representative dealing with clients for which they require qualification (17 May 2022 to 7 Nov 2023)
    • Responsible for Insurance Mediation (1 Jul 2010 to 30 Sep 2018)
    • CF30 Customer (1 Jul 2010 to 7 Nov 2023)
    • CF11 Money Laundering Reporting (1 Jul 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2010 to 8 Dec 2019)
    • CF1 Director (1 Jul 2010 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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