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

  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

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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)

  Show 2 limitations Hide limitations

  • · 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.

• David Richard Little

  IRN DRL01062

  • [FCA CF] Functions requiring qualifications (7 Apr 2022 to 29 Apr 2025)
• David Samir Marzouk

  IRN DXM10308

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2026)
• Dean Proctor

  IRN DMP01108

  • Responsibility for MCD Intermediation (since 13 Dec 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (28 May 2019 to 8 Dec 2019)
  • CF1 Director (28 May 2019 to 8 Dec 2019)
• Dennis Bryan Daniel McGrath

  IRN DBM01050

  • CF30 Customer (9 Sep 2019 to 8 Dec 2019)
• Duncan Richard Walker

  IRN DXW24499

  • Responsible for Insurance Distribution (since 28 Sep 2020)
  • SMF3 Executive Director (since 28 Sep 2020)
• Edward Geoffrey Annesley Tory

  IRN EGT01018

  • [FCA CF] Functions requiring qualifications (1 Mar 2024 to 24 Jun 2024)
• Edward James Whitehouse

  IRN EXW00332

  • 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 10 Sep 2025)
  • [FCA CF] Client dealing (since 10 Sep 2025)
• Gareth Pulman

  IRN GJP01068

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

  IRN GTM01031

  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• George David Martineau

  IRN GDM01086

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jun 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Jun 2021)
  • CF30 Customer (11 Jul 2019 to 8 Dec 2019)

No changes recorded yet.