7IM Investment and Retirement Solutions Limited

• Principal Place of Business

  7IM Investment & Retirement Solutions Limited

  Floor 4

  1 Angel Court

  London

  EC2R 7HJ

  UNITED KINGDOM

  Phone

  +442077608777

  Web

  https://www.7im.co.uk

• Complaints Contact

  7IM Investment & Retirement Solutions Limited

  Floor 4

  1 Angel Court

  London

  EC2R 7HJ

  UNITED KINGDOM

  Phone

  +442077608777

• Pension Transfer Advice

  For 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

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  • · 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), Alternative Debenture, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only
  • · Firm is not permitted to carry on this activity in relation to lifetime mortgages

• 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, 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, 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 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

  Show 2 limitations Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only
  • · Firm is not permitted to carry on this activity in relation to lifetime mortgages

• Arranges Asset Safekeeping

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Trade Settlement Routing

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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 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.

• Trades With You Directly

  For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates

• Runs Personal Pensions

  For Retail (Investment), Personal pension scheme

• 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, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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 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.

• Christopher James Hardie

  IRN CXH11010

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Jan 2022)
  • CF30 Customer (11 Jul 2019 to 8 Dec 2019)
• Christopher Nicholls

  IRN CPN00001

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 25 Feb 2026)
  • [FCA CF] Functions requiring qualifications (since 25 Feb 2026)
• Christopher Slater David James

  IRN CSJ01029

  • 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] Manager of certification employee (since 16 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
• Christopher Steven Phillips

  IRN CXP19726

  • CF29 Significant management (28 Nov 2019 to 8 Dec 2019)
• Colin Thomas Orr

  IRN CTO01005

  • CF30 Customer (9 May 2019 to 8 Dec 2019)
• Craig Forbes

  IRN CXF01068

  • 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 2 May 2024)
• Daniel Edward Wood

  IRN DEW01089

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (16 Sep 2019 to 8 Dec 2019)
• David Cropper Ogden

  IRN DCO01010

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Mar 2020)
  • CF11 Money Laundering Reporting (1 Dec 2017 to 8 Dec 2019)
• David Fry

  IRN DJF01172

  • 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] Manager of certification employee (since 16 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
• David Grzegorz

  IRN DXG06776

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Feb 2026)
  • [FCA CF] Client dealing (since 25 Feb 2026)

No changes recorded yet.