Belmont Associates Limited

Date authorised
1 April 2013
Companies House
03063186
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 Church Lane
    Brafield on the Green
    Northampton
    Northamptonshire
    NN7 1BA
    UNITED KINGDOM
    Phone
    +4401604891892
    Web
    https://www.belmontassociates.co.uk

  • Complaints Contact

    9 Church Lane
    Brafield on the Green
    Northampton
    Northamptonshire
    NN7 1BA
    UNITED KINGDOM
    Phone
    +4401604891892

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 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 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.

  • Derek Purnell

    IRN DXP00048

    • CF1 Director (1 Dec 2001 to 1 Oct 2002)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Oct 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 24 Dec 2004)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Oct 2002)
  • Frederick Allan Darby

    IRN FAD01010

    • CF22 Investment Adviser (Trainee) (24 Aug 2004 to 15 Apr 2005)
  • John Dennis Manger

    IRN JDM00024

    • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2004)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Oct 2003)
    • CF1 Director (1 Dec 2001 to 1 Oct 2003)
  • John Mark William Kentigern-Fox

    IRN JMK00011

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 11. Pension transfer specialist
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (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 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (23 Aug 2002 to 8 Dec 2019)
    • CF1 Director (23 Aug 2002 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (23 Aug 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Aug 2002 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (23 Aug 2002 to 31 Mar 2009)
  • Paul Neil Wareham

    IRN PNW00007

    • CF22 Investment Adviser (Trainee) (13 Dec 2002 to 30 Jun 2007)

Recent activity

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

No changes recorded yet.