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.

• Paul Emiel Robinson

  IRN PER00013

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (17 Jul 2007 to 31 Oct 2007)
• Philip Terence Rooney

  IRN PTR00003

  • CF30 Customer (1 Nov 2007 to 30 Mar 2012)
  • CF21 Investment Adviser (29 Sep 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (29 Sep 2004 to 31 Oct 2007)
• Phillip Barry Spencer

  IRN PBS00015

  • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
  • CF21 Investment Adviser (1 Mar 2006 to 31 Oct 2007)
• Richard Malcolm Lindley

  IRN RML01063

  • CF1 Director (5 Jul 2004 to 1 Sep 2004)
• Robert Alexander Ritchie

  IRN RAR00015

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF24 Pension Transfer Specialist (20 Sep 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
• Robert Andrew Richardson

  IRN RXR23080

  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 6 May 2022)
  • [FCA CF] Functions requiring qualifications (since 6 May 2022)
• Robin Slinger

  IRN RXS01877

  • CF2 Non Executive Director (9 Apr 2011 to 14 Sep 2011)
  • CF1 Director (7 Feb 2007 to 9 Apr 2011)
• Roger Marlow

  IRN RJM00006

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
• Sharon Aideen Mei Mei Adams

  IRN SAA01093

  • CF22 Investment Adviser (Trainee) (3 Oct 2006 to 4 Jun 2007)
• Stephen David Jackson

  IRN SDJ00010

  • CF30 Customer (2 Jan 2008 to 31 Mar 2010)
  • CF3 Chief Executive (29 Mar 2005 to 27 Feb 2007)
  • CF8 Apportionment and Oversight (29 Mar 2005 to 27 Feb 2007)
  • CF11 Money Laundering Reporting (28 Jul 2004 to 31 Mar 2005)
  • CF10 Compliance Oversight (28 Jul 2004 to 27 Feb 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 27 Feb 2007)

• 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.