Financial Management Bureau Limited

• Principal Place of Business

  Shenstone House

  Helsington

  Kendal

  Cumbria

  LA8 8AA

  UNITED KINGDOM

  Phone

  +4401539725855

  Web

  https://www.finman.co.uk

• Complaints Contact

  Shenstone House

  Helsington

  Kendal

  Cumbria

  LA8 8AA

  UNITED KINGDOM

  Phone

  +4401539725855

• 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 Hide 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 Hide limitations

  • · 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 Hide limitations

  • · 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 Hide limitations

  • · 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

• Credit Brokering

• 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, 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 Hide limitations

  • · 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.

• Alice Wilkinson

  IRN AXW00545

  • 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] Client dealing (since 8 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2022)
• Alister Andrew Owen

  IRN AXO21674

  • CF30 Customer (10 Oct 2019 to 8 Dec 2019)
• Allan David Thomas

  IRN ADT00037

  • CF2 Non Executive Director (1 Dec 2001 to 11 Feb 2008)
• Allan Gregory Brown

  IRN AGB00002

  • CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2007)
• Andrew Laisby

  IRN AXL00066

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Oct 2002 to 31 Oct 2007)
• Angela Mary Nottingham

  IRN AMN00001

  • CF21 Investment Adviser (9 Feb 2006 to 29 Sep 2006)
• Anthony Leon Ashworth

  IRN AXA01502

  • CF21 Investment Adviser (14 May 2004 to 27 Apr 2006)
• Ashley Michael Magean

  IRN AMM01246

  • CF30 Customer (15 Mar 2012 to 23 Oct 2015)
• Cameron Thornton

  IRN CXT00369

  • 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
  • [FCA CF] Functions requiring qualifications (since 4 Nov 2022)
  • [FCA CF] Client dealing (since 4 Nov 2022)
• Charlotte Elizabeth Rigg

  IRN CXR00246

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 2 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 2 Jun 2021)

No changes recorded yet.