Ardmore Financial Planning Limited

Date authorised
1 April 2013
Companies House
SC363882
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Stables
    55 Market Road
    Carluke
    Lanarkshire
    ML8 4BE
    UNITED KINGDOM
    Phone
    +4401555773462
    Web
    https://www.ardmorefinancial.co.uk

  • Complaints Contact

    The Stables
    55 Market Road
    Carluke
    Lanarkshire
    ML8 4BE
    UNITED KINGDOM
    Phone
    +4401555773462

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)

  • 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 2 limitations
    • · 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 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

    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, 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

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling in connection with investment and mortgage advice
    • · 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, 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.

Approved individuals

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

  • Craig Ferguson

    IRN CXF00048

    • Responsibility for MCD Intermediation (21 Mar 2016 to 17 Feb 2017)
    • CF11 Money Laundering Reporting (2 Jan 2013 to 17 Feb 2017)
    • CF30 Customer (2 Jan 2013 to 17 Feb 2017)
    • CF1 Director (2 Jan 2013 to 17 Feb 2017)
  • Janet Wilson Warren

    IRN JWW01106

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (2 Jan 2013 to 8 Dec 2019)
  • Kirsty Louise Lister

    IRN KLL01028

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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] Functions requiring qualifications (since 2 Sep 2024)
    • [FCA CF] Client dealing (since 2 Sep 2024)
  • Lynne McPheat

    IRN LXM01923

    • [FCA CF] Functions requiring qualifications (20 Aug 2020 to 17 May 2024)
    • [FCA CF] Client dealing (20 Aug 2020 to 17 May 2024)
    • CF30 Customer (15 Sep 2015 to 8 Dec 2019)
  • Rebecca Warren

    IRN RXW00642

    • Director of firm who is not a certification employee or a SMF manager (since 20 Aug 2020)
  • Sarah Warren

    IRN SXW00971

    • Director of firm who is not a certification employee or a SMF manager (since 20 Aug 2020)
  • Scott John Warren

    IRN SJW00048

    • 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 20 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 20 Aug 2020)
    • 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)
    • CF11 Money Laundering Reporting (21 Apr 2017 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (21 Apr 2017 to 22 Sep 2017)
    • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
    • CF1 Director (2 Jan 2013 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.