B & S Financial Management Limited

Date authorised
1 April 2013
Companies House
02044622
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    B & S Financial Management Ltd
    The Base
    Dallam Lane
    Warrington
    WA2 7NG
    UNITED KINGDOM
    Phone
    +4401925909620
    Web
    https://bandsfinancialmanagement.co.uk

  • Complaints Contact

    B & S Financial Management Ltd
    The Base
    Dallam Lane
    Warrington
    WA2 7NG
    UNITED KINGDOM
    Phone
    +4401925909620

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • 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
    • · 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.
    • · 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 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
    • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgage.
    • · 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.

  • Antony Idris Davies

    IRN AID00002

    • CF30 Customer (1 Nov 2007 to 16 Dec 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 16 Dec 2011)
    • CF1 Director (1 Dec 2001 to 16 Dec 2011)
  • Christopher Simon Porritt

    IRN CSP01055

    • Director of firm who is not a certification employee or a SMF manager (since 4 Nov 2020)
    • CF2 Non Executive Director (17 Aug 2015 to 8 Dec 2019)
  • David Nigel Hunter

    IRN DNH01036

    • Director of firm who is not a certification employee or a SMF manager (4 Nov 2020 to 18 Oct 2024)
    • CF2 Non Executive Director (23 Jun 2017 to 8 Dec 2019)
  • Ian John Bullough

    IRN IJB00024

    • CF2 Non Executive Director (1 Dec 2001 to 4 Apr 2012)
  • John Hall

    IRN JXH00091

    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Aug 2019)
    • CF11 Money Laundering Reporting (7 Jul 2015 to 31 Aug 2019)
    • Responsible for Insurance Mediation (1 Jul 2015 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF1 Director (1 Dec 2001 to 31 Aug 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 31 Aug 2019)
  • Mark Anthony Slaven

    IRN MAS00133

    • CF11 Money Laundering Reporting (22 Dec 2011 to 15 May 2015)
    • Responsible for Insurance Mediation (14 Jan 2005 to 15 May 2015)
    • CF1 Director (1 Dec 2001 to 15 May 2015)
    • CF3 Chief Executive (1 Dec 2001 to 15 May 2015)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Michael Anthony Parkin

    IRN MAP01227

    • 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 16 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2019)
    • CF11 Money Laundering Reporting (1 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2019 to 8 Dec 2019)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (20 Jan 2012 to 8 Dec 2019)
  • Paul Richard Wilson

    IRN PRW01126

    • Director of firm who is not a certification employee or a SMF manager (since 4 Nov 2020)
    • CF2 Non Executive Director (29 Dec 2016 to 8 Dec 2019)
  • Philip John Robert

    IRN PJR01142

    • Director of firm who is not a certification employee or a SMF manager (since 4 Nov 2020)
    • CF2 Non Executive Director (1 Dec 2001 to 8 Dec 2019)
  • Stuart Gavin Johnson

    IRN SGJ00019

    • CF30 Customer (15 Jul 2008 to 28 Oct 2011)

Recent activity

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

No changes recorded yet.