Carpenter Rees Limited

Date authorised
1 April 2013
Companies House
03260330
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Stephen James Larner

    IRN SJL00076

    • CF21 Investment Adviser (5 Dec 2005 to 2 Jul 2007)
  • Stephen John Sutton

    IRN SJS00015

    • CF21 Investment Adviser (1 Feb 2007 to 2 Jul 2007)
  • Stephen Rees

    IRN SXR00031

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (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 (27 Feb 2007 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (27 Feb 2007 to 17 Jan 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • Stuart James Mollekin

    IRN SJM01412

    • CF1 Director (21 Apr 2005 to 31 Mar 2011)
  • Terence Anthony Clark

    IRN TAC01053

    • CF11 Money Laundering Reporting (1 Apr 2005 to 2 Nov 2006)
  • Timothy James Marlow

    IRN TJM01135

    • CF1 Director (AR) (21 Sep 2006 to 31 Mar 2008)
    • CF21 Investment Adviser (21 Sep 2006 to 8 Feb 2007)
  • Vincent James O'Keefe

    IRN VJO00001

    • CF21 Investment Adviser (5 Dec 2005 to 2 Jul 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.