Allsopp Financial Management Limited

Date authorised
1 April 2013
Companies House
05506823
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    No 7 Caroline Point
    62 Caroline Street
    Jewellery Quarter
    Birmingham
    West Midlands
    B3 1UF
    UNITED KINGDOM
    Phone
    +4401212339922
    Web
    https://www.allsoppfinancial.co.uk

  • Complaints Contact

    No 7 Caroline Point
    62 Caroline Street
    Jewellery Quarter
    Birmingham
    West Midlands
    B3 1UF
    UNITED KINGDOM
    Phone
    +4401212339922

What this firm is allowed to do

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

  • 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

    Show 2 limitations
    • · 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 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, 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, 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, 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, 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.

  • 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, 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.

  • Catherine Elizabeth Allsopp

    IRN CEA01030

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (2 Jan 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
  • Marc Timothy Allsopp

    IRN MTA01025

    • 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 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 13 Oct 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (2 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Jan 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.