Belgrave Asset Management Limited

Date authorised
1 April 2013
Companies House
03936094
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    21B Charles Street
    Bath
    Somerset
    BA1 1HX
    UNITED KINGDOM
    Phone
    +4401225484141
    Web
    https://www.belgraveifa.co.uk

  • Complaints Contact

    21B Charles Street
    Bath
    Somerset
    BA1 1HX
    UNITED KINGDOM
    Phone
    +4401225484141

What this firm is allowed to do

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

  • 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.

  • 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.

  • Alastair Keith Sutton

    IRN AKS00027

    • CF24 Pension Transfer Specialist (1 Apr 2005 to 9 Sep 2005)
    • CF21 Investment Adviser (1 Apr 2005 to 9 Sep 2005)
  • Anthony Laing Davies

    IRN ALD00004

    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Dec 2022)
    • CF10 Compliance Oversight (10 Mar 2016 to 8 Dec 2019)
  • Christopher Martyn Williams

    IRN CMW00024

    • CF1 Director (7 Jul 2015 to 23 Dec 2015)
    • CF10 Compliance Oversight (14 May 2015 to 23 Dec 2015)
    • CF30 Customer (14 May 2015 to 23 Dec 2015)
  • David Simon Mayne

    IRN DSM00037

    • CF30 Customer (1 Nov 2007 to 20 Aug 2010)
    • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
  • Ellis William Batchelor

    IRN EWB00006

    • SMF16 Compliance Oversight (since 2 Dec 2022)
  • Emma Louise Wilson

    IRN ELF01014

    • CF30 Customer (11 Nov 2015 to 16 Mar 2016)
  • Gemma Louise Watson

    IRN GLB01034

    • 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
    • SMF1 Chief Executive (since 31 Mar 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (15 May 2015 to 8 Dec 2019)
    • CF1 Director (1 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (5 Dec 2005 to 31 Oct 2007)
  • Louise Emma Heppel

    IRN LEH00010

    • CF1 Director (1 Apr 2005 to 19 May 2012)
    • CF11 Money Laundering Reporting (1 Apr 2005 to 19 May 2012)
  • Michael John Andrew Smith

    IRN MJS00089

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF9 Chair of the Governing Body (since 31 Mar 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (9 Dec 2019 to 31 Mar 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Apr 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
    • CF3 Chief Executive (1 Apr 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Apr 2005 to 31 Mar 2009)
  • Nigel George Patterson

    IRN NGP00002

    • CF21 Investment Adviser (1 Apr 2005 to 16 Nov 2006)
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Recent activity

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

No changes recorded yet.