CMD Independent Financial Advisers Limited

Date authorised
1 April 2013
Companies House
03905971
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    C M D Independent Financial Advisers Ltd
    Prospect Farm
    Monxton
    Andover
    Hampshire
    SP11 7DA
    UNITED KINGDOM
    Phone
    +4401264710567
    Web
    https://www.cmdifa.co.uk

  • Complaints Contact

    C M D Independent Financial Advisers Ltd
    Prospect Farm
    Monxton
    Andover
    Hampshire
    SP11 7DA
    UNITED KINGDOM
    Phone
    +4401264710567

What this firm is allowed to do

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

  • 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

    Show 2 limitations
    • · 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, 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, 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.

  • Carole Machin

    IRN CXM00114

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Jul 2020)
    • [FCA CF] Material risk taker (9 Dec 2019 to 16 Jun 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 16 Jun 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Dec 2006 to 31 Mar 2009)
    • CF1 Director (1 Dec 2006 to 8 Dec 2019)
    • CF3 Chief Executive (1 Dec 2006 to 8 Dec 2019)
  • Martyn Paul Davies

    IRN MPD00028

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Feb 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 16 Jun 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 16 Jun 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2006 to 31 Oct 2007)
  • Peter Stuart Jefford

    IRN PSJ00006

    • CF21 Investment Adviser (1 Dec 2006 to 28 Feb 2007)

Recent activity

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

No changes recorded yet.