Aquila Financial Management Limited

Date authorised
1 April 2013
Companies House
04198807
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Aquila Financial Management Ltd
    The Summit
    Pynes Hill
    Exeter
    Devon
    EX2 5WS
    UNITED KINGDOM
    Phone
    +4401392411159
    Web
    http://www.aquilafm.co.uk

  • Complaints Contact

    Aquila Financial Management Ltd
    The Summit
    Pynes Hill
    Exeter
    Devon
    EX2 5WS
    UNITED KINGDOM
    Phone
    +4401392411159

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, 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, 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.

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

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

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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, 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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Michael David Snowden Butler

    IRN MDB00001

    • CF30 Customer (1 Nov 2007 to 31 Oct 2016)
    • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
  • Michael John Gilkerson

    IRN MJG00001

    • CF21 Investment Adviser (1 Jun 2004 to 14 Dec 2006)
  • Nigel Hemming

    IRN NJH00002

    • CF30 Customer (1 Nov 2007 to 24 Dec 2015)
    • Responsible for Insurance Mediation (14 Jan 2005 to 31 May 2015)
    • CF24 Pension Transfer Specialist (16 Aug 2004 to 31 Oct 2007)
    • CF1 Director (1 Jun 2004 to 31 May 2015)
    • CF10 Compliance Oversight (1 Jun 2004 to 31 May 2015)
    • CF11 Money Laundering Reporting (1 Jun 2004 to 31 May 2015)
    • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
    • CF3 Chief Executive (1 Jun 2004 to 31 May 2015)
    • CF8 Apportionment and Oversight (1 Jun 2004 to 31 Oct 2007)
  • PAUL WHITMARSH

    IRN PXW00199

    • 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
    • SMF3 Executive Director (since 8 Aug 2023)
    • Responsible for Insurance Distribution (since 3 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Sep 2022)
    • SMF16 Compliance Oversight (since 27 Sep 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Paul Gerard Dickens

    IRN PXD00010

    • CF30 Customer (1 Nov 2007 to 20 Dec 2010)
    • Responsible for Insurance Mediation (3 Apr 2004 to 1 Jun 2004)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jun 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 1 Jun 2004)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jun 2004)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Jun 2004)
  • Paul Saunders

    IRN PXS00193

    • CF30 Customer (1 Nov 2007 to 31 Oct 2016)
    • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
  • Peter Myles Donnelly

    IRN PMD00019

    • CF30 Customer (1 Nov 2007 to 23 Dec 2011)
    • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
  • Richard John Sharp

    IRN RJS00001

    • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
    • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
  • Stephen Robert Greasley

    IRN SRG00001

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
  • Steven John Manning

    IRN SJM01436

    • [FCA CF] Client dealing (9 Dec 2019 to 3 Mar 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Mar 2022)

Recent activity

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

No changes recorded yet.