Alpha Financial Management Limited

• Principal Place of Business

  22 Stuart Road

  Waterloo

  Liverpool

  Merseyside

  L22 4QS

  UNITED KINGDOM

  Phone

  +4401519491666

  Web

  https://www.afm.org.uk

• Complaints Contact

  22 Stuart Road

  Waterloo

  Liverpool

  Merseyside

  L22 4QS

  UNITED KINGDOM

  Phone

  +441519491666

• Buy-to-Let Mortgage Advice

• 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

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  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

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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

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

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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 Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Anthony Gerard White

  IRN AGW00012

  • CF30 Customer (1 Nov 2007 to 17 Mar 2010)
  • CF21 Investment Adviser (10 Nov 2003 to 31 Oct 2007)
• David John Hughes

  IRN DJH00050

  • CF21 Investment Adviser (9 Feb 2005 to 16 Jun 2005)
  • CF22 Investment Adviser (Trainee) (28 Aug 2003 to 9 Feb 2005)
• Katherine Margaret Richards

  IRN KMR00001

  • CF10 Compliance Oversight (22 Nov 2007 to 13 Jan 2014)
  • Responsible for Insurance Mediation (22 Nov 2007 to 13 Jan 2014)
  • CF30 Customer (1 Nov 2007 to 13 Jan 2014)
  • CF1 Director (11 Aug 2004 to 13 Jan 2014)
  • CF21 Investment Adviser (31 Jan 2003 to 31 Oct 2007)
• Laurence Edward Soffe

  IRN LES01039

  • CF30 Customer (3 Feb 2009 to 27 Aug 2009)
• Matthew Clements

  IRN MXC00665

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 13 Jan 2022)
• Michael James Hughes

  IRN MJH00006

  • CF21 Investment Adviser (25 Feb 2004 to 17 Mar 2005)
• Stephen Lee

  IRN SXL00039

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 16 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • 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)
  • Responsibility for MCD Intermediation (since 29 Sep 2016)
  • Responsible for Insurance Mediation (25 Feb 2014 to 30 Sep 2018)
  • CF10 Compliance Oversight (25 Feb 2014 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (15 Nov 2002 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (15 Nov 2002 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (15 Nov 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Nov 2002 to 31 Oct 2007)

No changes recorded yet.