Capital & Counties (Financial Services) Limited

• Principal Place of Business

  Atholl House

  65A Duke Street

  Chelmsford

  Essex

  CM1 1HL

  UNITED KINGDOM

  Phone

  +4401245348898

• Complaints Contact

  Atholl House

  Duke Street

  Chelmsford

  Essex

  CM1 1HL

  UNITED KINGDOM

  Phone

  +441245348898

• 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: 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 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, 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, 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.

• Stockbroking

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

• 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

  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.

• Alan James Kent

  IRN AJK00008

  • [FCA CF] Significant management (9 Dec 2019 to 29 Oct 2025)
  • CF2 Non Executive Director (1 Dec 2001 to 8 Dec 2019)
• Cheryl Harriet Bohin

  IRN CHB01057

  • CF22 Investment Adviser (Trainee) (31 May 2005 to 23 Sep 2005)
• John Michael Cookson

  IRN JMC00014

  • CF2 Non Executive Director (1 Dec 2001 to 25 Mar 2015)
• Lawrence Charles Earl

  IRN LCE00002

  • 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
  • 17. Administrative functions in relation to managing investments
  • 10. Broker fund adviser
  • 11. Pension transfer specialist
  • 14. Managing investments
  • 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)
  • SMF1 Chief Executive (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 (21 Feb 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
• Michael Derrick Lock

  IRN MDL00005

  • CF2 Non Executive Director (1 Dec 2001 to 30 Jun 2013)
• Roger Woolrych Barrand

  IRN RWB00011

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Simon Andrew Grimwood

  IRN SAG00019

  • CF1 Director (1 Dec 2001 to 22 Jan 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 22 Jan 2003)
• Simon John Knighting Baxter

  IRN SJB00020

  • CF30 Customer (1 Nov 2007 to 31 Oct 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.