Adcas Financial Management Ltd

Date authorised
1 April 2013
Companies House
04609344
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    90 Whitegate Drive
    Blackpool
    Lancs
    FY3 9DA
    UNITED KINGDOM
    Phone
    +4401253405900
    Web
    https://www.adcasltd.com

  • Complaints Contact

    90 Whitegate Drive
    Blackpool
    Lancs
    FY3 9DA
    UNITED KINGDOM
    Phone
    +4401253405900

What this firm is allowed to do

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

  • 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
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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), 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.

  • Insurance Admin

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

  • Stockbroking

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

  • 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.

  • Alan Goffin

    IRN AXG00033

    • CF1 Director (AR) (21 Dec 2005 to 24 Mar 2006)
    • CF21 Investment Adviser (25 Sep 2003 to 12 Mar 2007)
  • Alan Metcalf

    IRN AXM00034

    • CF30 Customer (24 Nov 2008 to 31 Dec 2008)
  • Alastair Marshall Dunn

    IRN AMD00027

    • CF30 Customer (1 Nov 2007 to 6 Jan 2011)
    • Responsible for Insurance Mediation (14 Jan 2005 to 6 Jan 2011)
    • CF21 Investment Adviser (17 Apr 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (17 Apr 2003 to 6 Jan 2011)
    • CF8 Apportionment and Oversight (17 Apr 2003 to 31 Mar 2009)
    • CF1 Director (17 Apr 2003 to 8 Mar 2019)
    • CF10 Compliance Oversight (17 Apr 2003 to 6 Jan 2011)
  • Ben Wrigley

    IRN BXW01458

    • 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)
    • CF1 Director (AR) (since 19 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2020)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (since 17 Sep 2015)
    • Responsible for Insurance Distribution (4 May 2020 to 20 Aug 2020)
    • CF1 Director (3 Aug 2017 to 8 Dec 2019)
  • Craig Martin Boyle

    IRN CMB00043

    • CF30 Customer (1 Nov 2007 to 17 Feb 2016)
    • CF21 Investment Adviser (17 Apr 2003 to 31 Oct 2007)
  • David Robert Williams

    IRN DRW00044

    • CF30 Customer (1 Nov 2007 to 4 Dec 2007)
    • CF24 Pension Transfer Specialist (18 Jul 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Apr 2007 to 31 Oct 2007)
  • Glyn Bentley Hill

    IRN GBH01031

    • CF11 Money Laundering Reporting (31 Jan 2011 to 21 Nov 2019)
    • CF1 Director (31 Jan 2011 to 21 Nov 2019)
    • CF30 Customer (1 Nov 2007 to 21 Nov 2019)
    • CF22 Investment Adviser (Trainee) (25 Jun 2007 to 31 Oct 2007)
  • James Alan Cocker

    IRN JAC01360

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 12 May 2023)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 1 Nov 2007)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 12 Feb 2024)
    • CF10 Compliance Oversight (2 Mar 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Mar 2011 to 30 Sep 2018)
    • CF1 Director (2 Mar 2011 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Nov 2006 to 1 Feb 2007)
  • Mark Stephen Wilson

    IRN MSW00015

    • CF21 Investment Adviser (30 Mar 2005 to 1 Nov 2005)
  • Michael Wellby

    IRN MXW01685

    • CF30 Customer (1 Nov 2007 to 30 Dec 2009)
    • CF21 Investment Adviser (29 Jun 2007 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.