Caledonian Financial Management Limited

• Principal Place of Business

  Caledonian House

  35 Nasmyth Avenue

  Scottish Enterprise Technology Park

  East Kilbride

  Lanarkshire

  G75 0QR

  UNITED KINGDOM

  Phone

  +441698456200

  Web

  https://www.caledonianfm.co.uk

• Complaints Contact

  Caledonian House

  35 Nasmyth Avenue

  East Kilbrdie

  South Lanarkshire

  G75 0QR

  UNITED KINGDOM

  Phone

  +441698456200

• 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 Hide 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 Hide 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 Hide 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.

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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 Hide 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.

• Alexander James Caterer

  IRN AXC03421

  • [FCA CF] Client dealing (10 Feb 2025 to 17 Mar 2025)
  • [FCA CF] Functions requiring qualifications (10 Feb 2025 to 17 Mar 2025)
• Catherine Mary Burnett

  IRN CMB01259

  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Colin Jack

  IRN CXJ00033

  • [FCA CF] Client dealing (24 Nov 2020 to 31 Dec 2021)
  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 31 Dec 2021)
• David Hunter

  IRN DXH00074

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (17 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Dean Steven Robinson

  IRN DXR00312

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 24 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2021)
• Giovanni Fionda

  IRN GXF01323

  • SMF3 Executive Director (15 Feb 2020 to 20 Mar 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Mar 2026)
  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Greg John Fitzsimmons

  IRN GXF00253

  • 9A. Advising on P2P agreements
  • 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 10 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 10 Feb 2025)
• Karen El Karti

  IRN KXR01366

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 17 Jun 2019)
  • CF10 Compliance Oversight (17 Jun 2019 to 8 Dec 2019)
  • CF1 Director (17 Jun 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Jun 2019 to 8 Dec 2019)
• Robert Pollock

  IRN RXP00098

  • [FCA CF] Manager of certification employee (12 Mar 2025 to 30 Apr 2025)

No changes recorded yet.