AMHERST FINANCIAL MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
04554877
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 Pure Offices
    Plato Close
    Tachbrook Park
    Leamington Spa
    Warwickshire
    CV34 6WE
    UNITED KINGDOM
    Phone
    +4401926431314
    Web
    https://www.amherstfm.co.uk

  • Complaints Contact

    9 Pure Offices
    Plato Close
    Tachbrook Park
    Leamington Spa
    Warwickshire
    CV34 6WE
    UNITED KINGDOM
    Phone
    +4401926431314

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • 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, 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.

  • Alan Kevin Lines

    IRN AKL00002

    • CF30 Customer (1 Nov 2007 to 27 Dec 2012)
    • CF21 Investment Adviser (29 Jul 2003 to 31 Oct 2007)
  • Glen Thomas Halford

    IRN GTH00006

    • CF21 Investment Adviser (29 Jul 2003 to 12 Jul 2004)
  • Graham John Sagar

    IRN GJS01171

    • 9A. Advising on P2P agreements
    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Nov 2021)
    • Responsible for Insurance Distribution (since 12 Nov 2021)
    • SMF3 Executive Director (since 12 Nov 2021)
    • SMF16 Compliance Oversight (since 12 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • CF30 Customer (1 Jul 2014 to 8 Dec 2019)
  • Julian Michael Thompson

    IRN JMT00016

    • CF21 Investment Adviser (29 Jul 2003 to 12 Jul 2004)
  • Kenneth Raymond Lines

    IRN KRL00001

    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 1 Dec 2021)
    • [FCA CF] Client dealing (9 Dec 2020 to 1 Dec 2021)
    • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (29 Jul 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Jul 2003 to 18 Nov 2019)
    • CF11 Money Laundering Reporting (29 Jul 2003 to 18 Nov 2019)
    • CF21 Investment Adviser (29 Jul 2003 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (29 Jul 2003 to 31 Mar 2009)
  • Kevin Robert Truslove

    IRN KRT00002

    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 29 Dec 2021)
    • [FCA CF] Client dealing (9 Dec 2020 to 29 Dec 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Feb 2020 to 1 Dec 2021)
    • SMF16 Compliance Oversight (16 Feb 2020 to 1 Dec 2021)
    • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Dec 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (29 Jul 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (29 Jul 2003 to 31 Oct 2007)
  • Sherwin John Baillie

    IRN SJB00041

    • CF21 Investment Adviser (29 Jul 2003 to 14 Dec 2004)

Recent activity

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

No changes recorded yet.