Carpenter Rees Limited

• Principal Place of Business

  11 Ashbrook Office Park

  Longstone Road

  Manchester

  M22 5LB

  UNITED KINGDOM

  Phone

  +4403330100777

  Web

  https://www.carpenter-rees.co.uk

• Complaints Contact

  11 Ashbrook Office Park

  Longstone Road

  Manchester

  M22 5LB

  UNITED KINGDOM

  Phone

  +4403330100777

• 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 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, 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.

• 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, 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.

• Martin Grenville Lewis

  IRN MGL01046

  • CF1 Director (23 Jul 2004 to 27 Jan 2012)
• Martin Joseph Edwards

  IRN MJE01072

  • CF30 Customer (1 Nov 2007 to 15 Jun 2009)
  • CF24 Pension Transfer Specialist (26 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
• Martyn Hughes

  IRN MXH01677

  • CF1 Director (23 Jul 2004 to 27 Jan 2012)
• Michael Robert Askew

  IRN MRA00014

  • CF1 Director (7 Nov 2007 to 27 Jan 2012)
• Michael William Carpenter

  IRN MWC00005

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Feb 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 17 Mar 2005)
  • CF8 Apportionment and Oversight (28 Jul 2004 to 17 Mar 2005)
  • CF3 Chief Executive (28 Jul 2004 to 17 Mar 2005)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Milos Lukic

  IRN MXL00087

  • CF21 Investment Adviser (5 Dec 2005 to 15 Jan 2007)
• Neil David Marlow

  IRN NDM00008

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF24 Pension Transfer Specialist (21 Sep 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (21 Sep 2006 to 31 Oct 2007)
  • CF1 Director (AR) (21 Sep 2006 to 31 Mar 2008)
• Nichola Jane Latto

  IRN NJL01072

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
• Nicholas Timothy Keenan

  IRN NTK01006

  • CF21 Investment Adviser (1 Jan 2002 to 4 Mar 2002)
• Nicola Kay Banks

  IRN NKB01017

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (2 Nov 2006 to 8 Dec 2019)

• Bridford Money Management Ltd (no longer appointed)

  FRN 424184 · Appointed 14 Sep 2006 · Until 31 Mar 2008

• Bridford Optimum Returns Limited (no longer appointed)

  FRN 424186 · Appointed 14 Sep 2006 · Until 9 Sep 2007

• Kingsbridge Asset Management Ltd (no longer appointed)

  FRN 228666 · Appointed 5 Dec 2005 · Until 2 Jul 2007

No changes recorded yet.