Blakes Financial Management Limited

• Principal Place of Business

  17 Temple Street

  Aylesbury

  Buckinghamshire

  HP20 2RN

  UNITED KINGDOM

  Phone

  +441296415585

  Web

  https://www.blakesfinancial.com

• Complaints Contact

  17 Temple Street

  Aylesbury

  Buckinghamshire

  HP20 2RN

  UNITED KINGDOM

  Phone

  +441296415585

• 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

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  • · 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: 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 Advice (no pensions)

  For 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

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  • · 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), 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

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  • · 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 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

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  • · 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.

• Alan Michael Butler

  IRN AMB00002

  • 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)
  • [FCA CF] Client dealing (since 1 Sep 2022)
  • [FCA CF] Significant management (since 26 Mar 2021)
  • [FCA CF] Manager of certification employee (since 26 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Mar 2021)
  • [PRA CF] Key function holder (since 26 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF1 Director (AR) (2 Feb 2024 to 23 May 2025)
  • CF10 Compliance Oversight (5 Dec 2018 to 8 Dec 2019)
  • CF30 Customer (5 Dec 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Dec 2018 to 8 Dec 2019)
  • CF1 Director (5 Dec 2018 to 8 Dec 2019)
  • Responsible for Insurance Distribution (5 Dec 2018 to 23 May 2025)
• Andrew Charles Back

  IRN ACB01207

  • [FCA CF] Functions requiring qualifications (2 Oct 2024 to 23 May 2025)
  • Appointed representative dealing with clients for which they require qualification (2 Oct 2024 to 23 May 2025)
  • CF3 Chief Executive (AR) (2 Feb 2024 to 23 May 2025)
  • CF1 Director (AR) (2 Feb 2024 to 23 May 2025)
• David Henry Chinn

  IRN DHC01019

  • 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)
  • [FCA CF] Client dealing (since 1 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2022)
• John Paul Evening

  IRN JPE00001

  • 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] Functions requiring qualifications (since 1 Feb 2022)
  • [FCA CF] Client dealing (since 1 Feb 2022)
• Neil Steven Mitchell

  IRN NSM00001

  • [FCA CF] Functions requiring qualifications (4 Feb 2022 to 7 Aug 2024)
  • [FCA CF] Client dealing (1 Feb 2022 to 7 Aug 2024)
• Robert William Yeates

  IRN RWY00006

  • 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 1 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2022)
• Stephen Michael Shanahan

  IRN SMS00038

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 2 Jul 2024)
• Steven John Price

  IRN SJP01214

  • 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 1 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 26 Mar 2021)
  • CF30 Customer (2 Feb 2024 to 23 May 2025)

• AB FINANCIAL PARTNERS LTD (no longer appointed)

  FRN 1005869 · Appointed 2 Feb 2024 · Until 23 May 2025

No changes recorded yet.