Financial Management

Last scraped
1 day ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Little Town
    Sedbergh
    Cumbria
    LA10 5RH
    UNITED KINGDOM
    Phone
    +4401539625660

  • Complaints Contact

    Little Town
    Cowgill
    Sedburgh
    Cumbria
    LA10 5RH
    UNITED KINGDOM
    Phone
    +4401539625660

Approved individuals

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

  • Sandra Philippa Smith

    IRN SPS00019

    • (11)[FCA CF] Client dealing (24 May 2021 to 29 Mar 2026)
    • (3)SMF27 Partner (9 Dec 2019 to 29 Mar 2026)
    • (5)SMF16 Compliance Oversight (9 Dec 2019 to 29 Mar 2026)
    • (12)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 May 2021)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Mar 2026)
    • (2)Responsible for Insurance Distribution (1 Oct 2018 to 29 Mar 2026)
    • (6)CF30 Customer (2 Jan 2009 to 8 Dec 2019)
    • (10)CF4 Partner (2 Jan 2009 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (2 Jan 2009 to 30 Sep 2018)
    • (7)CF11 Money Laundering Reporting (2 Jan 2009 to 8 Dec 2019)
    • (8)CF10 Compliance Oversight (2 Jan 2009 to 8 Dec 2019)
    • (9)CF8 Apportionment and Oversight (2 Jan 2009 to 31 Mar 2009)
  • Stephen Drinkwater

    IRN SXD00015

    • (14)SMF27 Partner (9 Dec 2019 to 12 Jul 2023)
    • (16)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jun 2023)
    • (13)Responsibility for MCD Intermediation (21 Mar 2016 to 12 Jul 2023)
    • (15)CF4 Partner (2 Jan 2009 to 8 Dec 2019)

Recent activity

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

  1. permission removed: CBTL Status

  2. permission removed: Credit Broking

  3. permission removed: Making arrangements with a view to regulated mortgage contracts

  4. permission removed: Making arrangements with a view to transactions in investments

  5. permission removed: Providing Credit Information Services

  6. requirement removed: OR-0067059

  7. requirement removed: OR-0214942

  8. controlled function added: (16)[FCA CF] Functions requiring qualifications

  9. controlled function added: (15)CF4 Partner

  10. controlled function added: (14)SMF27 Partner

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