AM&A INVESTMENT & PENSION PLANNING LIMITED

Date authorised
1 April 2013
Companies House
05275457
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    A M & A Investment & Pension Planning Ltd
    The Kinetic Centre
    Theobald Street
    Borehamwood
    Hertfordshire
    WD6 4PJ
    UNITED KINGDOM
    Phone
    +442083871231
    Web
    https://www.amaipp.com

  • Complaints Contact

    A M & A Investment & Pension Planning Ltd
    The Kinetic Centre
    Theobald Street
    Borehamwood
    Hertfordshire
    WD6 4PJ
    UNITED KINGDOM
    Phone
    +442083871231

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 1 limitation
    • · 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 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, 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, 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, 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.

  • Amanda-Jane Marks

    IRN AXM02301

    • CF1 Director (20 Feb 2006 to 1 Nov 2010)
  • David Alan Marks

    IRN DXM00078

    • 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] Client dealing (since 14 Jul 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Feb 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (20 Feb 2006 to 31 Mar 2009)
    • CF21 Investment Adviser (20 Feb 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (20 Feb 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Feb 2006 to 8 Dec 2019)
    • CF1 Director (20 Feb 2006 to 8 Dec 2019)
  • Ian Stephen Flowers

    IRN ISF01008

    • CF30 Customer (6 Jan 2015 to 11 Mar 2016)
  • Martin David Lumsden

    IRN MDL01077

    • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
    • CF1 Director (10 May 2006 to 31 Dec 2010)
    • CF24 Pension Transfer Specialist (9 May 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Feb 2006 to 6 Mar 2006)
  • Michael Anthony Owen

    IRN MAO01047

    • CF30 Customer (28 Jan 2011 to 6 Jan 2015)
  • stephen goldman

    IRN SXG01274

    • 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
    • Responsible for Insurance Distribution (since 12 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2017 to 8 Dec 2019)
    • CF1 Director (1 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (21 Jan 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.