Asset Management Financial Advisers Limited

• Principal Place of Business

  8 Gaters Mill

  Mansbridge Road

  West End

  Southampton

  Hampshire

  SO18 3HW

  UNITED KINGDOM

  Phone

  +4402380420606

  Web

  https://www.assetmanagement.co.uk

• Complaints Contact

  8 Gaters Mill

  Mansbridge Road

  West End

  Southampton

  Hampshire

  SO18 3HW

  UNITED KINGDOM

  Phone

  +4402380420606

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 Hide 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 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 Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding the administration of debt management plans. In this limitation debt management plans are 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".

• 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.

• Gordon John Race

  IRN GJR00008

  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 27 Feb 2020)
  • Responsible for Insurance Mediation (4 Dec 2008 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (2 Dec 2008 to 31 Mar 2009)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Gregory Chong

  IRN GPC00003

  • CF21 Investment Adviser (10 Oct 2002 to 22 Sep 2003)
• IAN ALEXANDER JONES

  IRN IAJ01017

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 Sep 2015 to 31 Oct 2019)
• Iain McCulloch

  IRN IXM01386

  • CF30 Customer (12 Jun 2012 to 2 Jul 2015)
• Ian Richard Chambers

  IRN IRC01045

  • [FCA CF] Client dealing (1 Nov 2020 to 11 Sep 2021)
  • [FCA CF] Functions requiring qualifications (1 Nov 2020 to 11 Sep 2021)
• Jake Harry Cousins

  IRN JXC00285

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 20 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 20 Nov 2023)
• John Patrick Mordant

  IRN JPM00029

  • CF21 Investment Adviser (1 Dec 2001 to 1 Feb 2003)
• Joseph Christopher Joel Rees-Long

  IRN JXR00812

  • [FCA CF] Functions requiring qualifications (1 Apr 2024 to 31 Jul 2025)
  • [FCA CF] Client dealing (1 Apr 2024 to 31 Jul 2025)
• Justin James Randall

  IRN JJR01058

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF22 Investment Adviser (Trainee) (17 Feb 2006 to 31 Oct 2007)
• KARRIE-ANN DOWNING

  IRN KXS02352

  • CF30 Customer (18 Sep 2015 to 7 Aug 2017)

No changes recorded yet.