Arden Associates (IFA) LLP

• Principal Place of Business

  Coningesby House

  24 St Andrew's Street

  Droitwich

  Worcestershire

  WR9 8DY

  UNITED KINGDOM

  Phone

  +4401905782009

  Web

  https://www.ardenassociates.co.uk

• Complaints Contact

  Coningesby House

  24 St Andrew's Street

  Droitwich

  Worcestershire

  WR9 8DY

  UNITED KINGDOM

  Phone

  +4401905782009

• P2P Lending Advice

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

• 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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  • · 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, 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

  For Professional, Retail (Investment)

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  • · 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Credit Brokering

• Stockbroking

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

• 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.

• David Anthony Carter

  IRN DAC00099

  • 11. Pension transfer specialist
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Nov 2019)
  • Responsibility for MCD Intermediation (since 1 Nov 2019)
  • CF11 Money Laundering Reporting (1 Nov 2019 to 8 Dec 2019)
  • CF4 Partner (30 May 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 May 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (23 Jul 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (23 Jul 2002 to 31 Oct 2007)
• Deborah Jayne Carter

  IRN DXC00947

  • SMF27 Partner (since 19 Dec 2025)
• Edward Antony Holmes

  IRN EXH17576

  • [FCA CF] Client dealing (1 Mar 2021 to 12 Nov 2021)
  • [FCA CF] Functions requiring qualifications (1 Mar 2021 to 12 Nov 2021)
• Malcolm Edwin Trumper

  IRN MET00009

  • CF30 Customer (1 Nov 2007 to 30 Jun 2016)
  • CF21 Investment Adviser (27 Feb 2002 to 31 Oct 2007)
• Richard Melvyn Carter

  IRN RMC00027

  • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
  • CF4 Partner (27 Feb 2002 to 31 Mar 2009)
  • CF21 Investment Adviser (27 Feb 2002 to 31 Oct 2007)
• Stephen John Marks

  IRN SJM00071

  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (27 Feb 2002 to 31 Oct 2007)
  • CF4 Partner (27 Feb 2002 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Feb 2002 to 23 Apr 2008)
  • CF21 Investment Adviser (27 Feb 2002 to 31 Oct 2007)
• William John Groom

  IRN WJG00008

  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Jul 2019)
  • Responsibility for MCD Intermediation (4 Oct 2016 to 31 Jul 2019)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (27 Feb 2002 to 31 Oct 2007)
  • CF4 Partner (27 Feb 2002 to 31 Jul 2019)
  • CF8 Apportionment and Oversight (27 Feb 2002 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (27 Feb 2002 to 31 Jul 2019)
  • CF21 Investment Adviser (27 Feb 2002 to 31 Oct 2007)
• Zong Heng Ong

  IRN ZXO00013

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • [FCA CF] Client dealing (since 11 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2026)

No changes recorded yet.