CALEB ROBERTS FINANCIAL MANAGEMENT LIMITED

• Principal Place of Business

  6E Bulwark

  Brecon

  Powys

  LD3 7LB

  UNITED KINGDOM

  Phone

  +4401874625758

  Web

  https://www.calebfinancial.co.uk

• Complaints Contact

  6E Bulwark

  Brecon

  Powys

  LD3 7LB

  UNITED KINGDOM

  Phone

  +441874625758

• 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

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  • · 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

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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 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, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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, 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.

• Gari Wyn Davies

  IRN GXD06959

  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 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)
  • 14. Managing investments
  • SMF3 Executive Director (since 30 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Oct 2018 to 8 Dec 2019)
• Guy Ronald Jenkins

  IRN GRJ00018

  • CF30 Customer (9 Aug 2012 to 8 Dec 2019)
• Jake Newman

  IRN JXN00376

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 26 Jun 2025)
  • [FCA CF] Client dealing (since 26 Jun 2025)
• Kenneth James Williams

  IRN KJW00030

  • CF30 Customer (6 Apr 2009 to 12 Aug 2016)
• Mark Anthony Jennings

  IRN MXJ00015

  • CF11 Money Laundering Reporting (6 Apr 2009 to 14 Sep 2018)
  • CF30 Customer (6 Apr 2009 to 14 Sep 2018)
  • CF1 Director (6 Apr 2009 to 14 Sep 2018)
• Rhian Watson

  IRN RXW00043

  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 14. Managing investments
  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (18 Oct 2018 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (11 Apr 2016 to 22 Oct 2019)
  • Responsible for Insurance Mediation (6 Apr 2009 to 30 Sep 2018)
  • CF1 Director (6 Apr 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Apr 2009 to 8 Dec 2019)
  • CF30 Customer (6 Apr 2009 to 8 Dec 2019)
• Robert Cleaves

  IRN RXC00017

  • [FCA CF] Significant management (9 Dec 2019 to 27 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Mar 2026)
  • SMF3 Executive Director (9 Dec 2019 to 27 Mar 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 Mar 2026)
  • CF1 Director (6 Apr 2009 to 8 Dec 2019)
  • CF30 Customer (6 Apr 2009 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 Apr 2009 to 8 Dec 2019)

No changes recorded yet.