CAPITAL ASSET MANAGEMENT (FINANCIAL PLANNING) LIMITED

• Principal Place of Business

  Chancery House

  53-64 Chancery Lane

  London

  City Of London

  WC2A 1QS

  UNITED KINGDOM

  Phone

  +442073986600

  Web

  https://www.capital.co.uk

• Complaints Contact

  Chancery House

  53-64 Chancery Lane

  London

  City Of London

  WC2A 1QS

  UNITED KINGDOM

  Phone

  +442073986600

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• 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 (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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• 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, 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.

• James Michael Greenly

  IRN JMG01257

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Jul 2022)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
• John Clifford Franks

  IRN JCF00001

  • CF21 Investment Adviser (14 Jan 2004 to 14 Jan 2004)
• Keith Paul Merrick Brewer

  IRN KPB01036

  • CF1 Director (AR) (1 Apr 2005 to 10 Jan 2010)
• Nicola Anna Tait

  IRN NAT01043

  • CF30 Customer (19 Sep 2008 to 30 Jun 2014)
• Oliver George Proctor

  IRN OXP00064

  • 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] Functions requiring qualifications (since 1 Jan 2026)
  • [FCA CF] Client dealing (since 1 Jan 2026)
• Robert Guy Willson

  IRN RGW00038

  • CF24 Pension Transfer Specialist (1 May 2004 to 23 Dec 2004)
  • CF21 Investment Adviser (1 May 2004 to 23 Dec 2004)
• Thomas James Charles Wigan

  IRN TXW45332

  • [FCA CF] Functions requiring qualifications (1 Apr 2023 to 28 Mar 2024)
  • [FCA CF] Client dealing (1 Apr 2023 to 28 Mar 2024)

• Century House Investment Services Ltd (no longer appointed)

  FRN 430176 · Appointed 24 Mar 2005 · Until 6 Sep 2009

No changes recorded yet.