Arena Investment Management Limited

• Principal Place of Business

  71 Liverpool Old Road

  Walmer Bridge

  Preston

  Lancashire

  PR4 5QE

  UNITED KINGDOM

  Phone

  +4401772610930

  Web

  https://www.ainv.co.uk

• Complaints Contact

  71 Liverpool Old Road

  Walmer Bridge

  Preston

  Lancashire

  PR4 5QE

  UNITED KINGDOM

  Phone

  +4401772610930

  Web

  https://www.ainv.co.uk

• P2P Lending Advice

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

• 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

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  • · 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, 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

• Authorised to Operate

  For 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, 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 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.

• Insurance Admin

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

• Stockbroking

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

• 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, 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.

• Andrew Armstrong

  IRN AXA00410

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 20 Jan 2025)
  • [FCA CF] Client dealing (since 20 Jan 2025)
• Beverley Ann Shackleton

  IRN BAS00030

  • [FCA CF] Client dealing (4 Apr 2023 to 31 May 2024)
  • [FCA CF] Functions requiring qualifications (4 Apr 2023 to 31 May 2024)
• Charles Duncan Beaumont

  IRN CDB00017

  • CF30 Customer (1 Nov 2007 to 21 Dec 2012)
  • CF21 Investment Adviser (18 Oct 2007 to 31 Oct 2007)
• Dharmesh Parmar

  IRN DXP02107

  • CF30 Customer (8 Oct 2015 to 9 Mar 2017)
• Eric Vincent Jenkinson

  IRN EVJ00001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 4 Apr 2023)
  • [FCA CF] Client dealing (since 4 Apr 2023)
• Gary John Wilde

  IRN GJW01109

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (11 May 2016 to 8 Dec 2019)
• Howard Stopforth

  IRN HXS00024

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (5 Aug 2005 to 31 Oct 2007)
• IAN CONNOR

  IRN IXC01420

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 30 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 11 Apr 2023)
  • [FCA CF] Client dealing (since 11 Apr 2023)
• Jacob Broadbent

  IRN JXB03746

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 8 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2024)
• Pauline Wilkinson

  IRN PXW00093

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Dec 2003 to 31 Oct 2007)

No changes recorded yet.