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

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  • · 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

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  • · 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

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  • · 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

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  • · 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.

• Francis Michael Casson

  IRN FMC00003

  • CF21 Investment Adviser (7 Feb 2002 to 3 May 2002)
• Gail Edgley

  IRN GEE00006

  • CF30 Customer (14 Jul 2017 to 13 Jun 2018)
• Gareth David Nicholson

  IRN GDN01008

  • CF30 Customer (1 Nov 2007 to 12 Sep 2008)
  • CF21 Investment Adviser (9 Feb 2006 to 31 Oct 2007)
• Gary Richardson

  IRN GXR00090

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Dec 2001)
  • CF1 Director (1 Dec 2001 to 19 Dec 2001)
• Gillian Forrester

  IRN GXF01239

  • SMF3 Executive Director (9 Dec 2019 to 4 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Oct 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Oct 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Oct 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Oct 2021)
  • Responsible for Insurance Mediation (23 Sep 2008 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (23 Sep 2008 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (23 Sep 2008 to 8 Dec 2019)
  • CF1 Director (23 Sep 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Mar 2008 to 8 Dec 2019)
• Graham Lappin

  IRN GXL00226

  • 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)
• Howard James Richards

  IRN HJR01023

  • CF2 Non Executive Director (31 Oct 2005 to 11 Feb 2008)
• Ian Buckley

  IRN IXB00039

  • CF21 Investment Adviser (8 Jul 2004 to 7 Jun 2005)
• Ian Stephen Jones

  IRN ISJ00001

  • CF1 Director (1 Dec 2001 to 19 Dec 2001)
  • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2001)
• Jeremy David Fisher

  IRN JDF00001

  • CF30 Customer (1 Nov 2007 to 6 Apr 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.