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

  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.

• Jonathan Charles Palser

  IRN JCP00026

  • 11. Pension transfer specialist
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (16 Nov 2017 to 8 Dec 2019)
• Jonathan Nicholson

  IRN JXN01217

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Sep 2011 to 8 Dec 2019)
• Leigh Steven Hornby

  IRN LSH00001

  • CF1 Director (1 Dec 2001 to 19 Dec 2001)
  • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2001)
• Leslie Beavis

  IRN LXB00002

  • CF30 Customer (1 Nov 2007 to 10 Aug 2008)
  • CF11 Money Laundering Reporting (7 Feb 2006 to 10 Aug 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 10 Aug 2008)
  • CF3 Chief Executive (31 Jan 2002 to 10 Aug 2008)
  • CF8 Apportionment and Oversight (31 Jan 2002 to 10 Aug 2008)
  • CF10 Compliance Oversight (31 Jan 2002 to 10 Aug 2008)
  • CF1 Director (1 Dec 2001 to 10 Aug 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Lisa Bennett

  IRN LJW01066

  • CF30 Customer (1 Nov 2007 to 6 Apr 2017)
  • CF21 Investment Adviser (14 Feb 2005 to 31 Oct 2007)
• Louise Elizabeth Smith

  IRN LES01034

  • CF30 Customer (1 Nov 2007 to 6 Dec 2017)
  • CF21 Investment Adviser (14 Feb 2005 to 31 Oct 2007)
• Louise Phillips

  IRN LMW01068

  • CF30 Customer (15 Sep 2008 to 13 Jun 2018)
• Lynne Bates

  IRN LXB01238

  • CF30 Customer (1 Nov 2007 to 24 Dec 2010)
  • CF22 Investment Adviser (Trainee) (20 Feb 2002 to 31 Oct 2007)
• Mark Alfred Gregory

  IRN MAG00013

  • CF21 Investment Adviser (7 Feb 2002 to 3 May 2002)
• Michael Charles Trelogan

  IRN MCT00016

  • CF30 Customer (1 Nov 2007 to 1 Mar 2008)
  • CF24 Pension Transfer Specialist (17 Apr 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (17 Apr 2003 to 31 Oct 2007)

No changes recorded yet.