Court Ross Financial Management Limited

Date authorised
1 April 2013
Companies House
02105259
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Court Ross
    Beacon Tower
    Colston Street
    Bristol
    Bristol, City Of
    BS1 4XE
    UNITED KINGDOM
    Phone
    +4401179300056
    Web
    https://www.courtross.co.uk

  • Complaints Contact

    Court Ross
    Beacon Tower
    Colston Street
    Bristol
    Bristol, City Of
    BS1 4XE
    UNITED KINGDOM
    Phone
    +4401179300056

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: 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, 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, 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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, 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.

  • Adil Rizwan Baig

    IRN ARB01304

    • [FCA CF] Client dealing (9 Dec 2019 to 2 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Oct 2023)
    • CF30 Customer (9 Nov 2018 to 8 Dec 2019)
  • Andrew Ferguson

    IRN AXF00001

    • CF30 Customer (1 Nov 2007 to 14 Nov 2007)
    • CF21 Investment Adviser (2 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Jul 2003 to 2 Mar 2005)
  • Graham Stewart Knopp

    IRN GSK01011

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Dec 2012 to 8 Dec 2019)
  • Ivan Stuart Angell

    IRN ISA00001

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 1 Feb 2013)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • James Robert Jones

    IRN JRJ00003

    • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2005)
  • Jeremiah Phillip Smith

    IRN JPS00048

    • CF21 Investment Adviser (20 Jul 2005 to 12 Dec 2005)
    • CF22 Investment Adviser (Trainee) (28 Apr 2003 to 20 Jul 2005)
  • Lorna Jane Maughan

    IRN LXL01138

    • CF30 Customer (8 Feb 2013 to 15 Dec 2015)
  • Michael John Williamson

    IRN MJW00004

    • CF30 Customer (17 Feb 2017 to 29 Mar 2018)

Recent activity

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

No changes recorded yet.