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.

• Michael Ferrington

  IRN MXF01485

  • CF30 Customer (15 Feb 2008 to 25 Feb 2010)
• Natalie Rachael Lockley

  IRN NRB00023

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (19 Nov 2018 to 8 Dec 2019)
• Paul Tuson

  IRN PXT01216

  • CF1 Director (16 Jul 2009 to 1 Feb 2012)
  • CF30 Customer (1 Nov 2007 to 1 Feb 2012)
  • CF21 Investment Adviser (7 Oct 2002 to 31 Oct 2007)
• Phil Billingham

  IRN PLB00002

  • CF30 Customer (15 Oct 2008 to 31 Dec 2009)
• Philip Arthur Barnes

  IRN PAB01234

  • CF30 Customer (27 May 2011 to 8 Dec 2019)
• Philip Bryan Williams

  IRN PBW01039

  • CF30 Customer (25 Sep 2008 to 25 Feb 2010)
• Rebecca Mary Hepworth

  IRN RXH37824

  • 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] Functions requiring qualifications (since 18 Jun 2024)
  • [FCA CF] Client dealing (since 18 Jun 2024)
  • [FCA CF] CASS oversight function (18 Jun 2024 to 19 Jun 2024)
• Richard Davies

  IRN RXD00203

  • 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 20 Nov 2023)
  • [FCA CF] Client dealing (since 20 Nov 2023)
  • [FCA CF] Client dealing (21 Apr 2021 to 11 May 2021)
  • [FCA CF] Functions requiring qualifications (21 Apr 2021 to 11 May 2021)
• Richard Jennings

  IRN RXJ00183

  • [FCA CF] Functions requiring qualifications (8 Mar 2022 to 15 Jul 2022)
  • [FCA CF] Client dealing (8 Mar 2022 to 15 Jul 2022)
• Roger Andrew Jackson

  IRN RAJ01128

  • 11. Pension transfer specialist
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (17 Oct 2018 to 8 Dec 2019)
  • CF30 Customer (2 Oct 2013 to 8 Dec 2019)

No changes recorded yet.