Cooper Mortimer Plant Limited

Date authorised
1 April 2013
Companies House
05303482
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Field House Farm
    Rock Cross
    Rock
    Kidderminster
    Worcestershire
    DY14 9RQ
    UNITED KINGDOM
    Phone
    +4401562820300
    Web
    https://www.cmp-wm.co.uk

  • Complaints Contact

    Field House Farm
    Rock Cross
    Rock
    Kidderminster
    Worcestershire
    DY14 9RQ
    UNITED KINGDOM
    Phone
    +4401562820300

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.

  • 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

Approved individuals

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

  • Austin David Broad

    IRN ADB00010

    • CF30 Customer (1 Nov 2007 to 16 Nov 2007)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • Lee David Dunn

    IRN LDD01013

    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (12 Feb 2018 to 30 Sep 2018)
    • CF1 Director (25 Apr 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Apr 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Apr 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (12 Sep 2006 to 31 Oct 2007)
  • Margaret Joan Plumley

    IRN MJC00016

    • SMF3 Executive Director (9 Dec 2019 to 19 Aug 2024)
    • CF30 Customer (1 Nov 2007 to 30 Dec 2012)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 2 Jan 2018)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 2 Jan 2018)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jan 2006 to 2 Jan 2018)
  • Richard Alan Hemingway

    IRN RAH00084

    • CF30 Customer (8 Feb 2010 to 26 Apr 2013)
  • Sheila Mary Burr

    IRN SMM01142

    • CF30 Customer (30 Apr 2013 to 8 Jul 2013)

Recent activity

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

No changes recorded yet.