Foundation Investment Management Limited

• Principal Place of Business

  Foundation House

  Scott Drive

  Altrincham

  Cheshire

  WA15 8AB

  UNITED KINGDOM

  Phone

  +4401619277222

• Complaints Contact

  Foundation House

  Scott Drive

  Altrincham

  Cheshire

  WA15 8AB

  UNITED KINGDOM

  Phone

  +4401619277222

• Pension Transfer Advice

  For 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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  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• James Menzies

  IRN RFM01057

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2026)
  • CF30 Customer (14 Nov 2014 to 8 Dec 2019)
• James Robert Jackson

  IRN JRJ01073

  • 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] Client dealing (since 11 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 11 Apr 2022)
  • CF30 Customer (9 Nov 2017 to 8 Dec 2019)
• Keith Horner

  IRN KXH01579

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (14 Nov 2014 to 8 Dec 2019)
• Keith Walton Thompson

  IRN KWT00001

  • CF1 Director (14 Nov 2014 to 31 May 2016)
• Krinzel Girish Shah

  IRN KGS01037

  • CF30 Customer (4 Dec 2021 to 25 Oct 2022)
• Laura Louise Peel

  IRN LLP01005

  • 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)
  • CF30 Customer (since 27 Jan 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Mark Darren Hird

  IRN MDH01084

  • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
• Neil Alexander

  IRN NXA00056

  • [FCA CF] Manager of certification employee (since 5 Mar 2026)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (9 Oct 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Oct 2018 to 8 Dec 2019)
  • CF1 Director (14 Nov 2014 to 8 Dec 2019)
• Robin Townsend

  IRN RXT01256

  • CF10 Compliance Oversight (14 Nov 2014 to 20 Aug 2018)
  • CF11 Money Laundering Reporting (14 Nov 2014 to 20 Aug 2018)
• Samuel Lewis Williams

  IRN SXW08306

  • 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] Client dealing (since 12 Apr 2024)
  • Appointed representative dealing with clients for which they require qualification (since 12 Apr 2024)
  • CF30 Customer (since 24 Mar 2024)

• Trident Financial Planning Limited

  FRN 969061 · Appointed 24 Mar 2024 · Tied agent

• Connectus Wealth Management Limited

  FRN 940624 · Appointed 9 Dec 2020 · Tied agent

• Beryllus Capital (UK) Limited (no longer appointed)

  FRN 953374 · Appointed 22 Jun 2021 · Until 12 Dec 2022

No changes recorded yet.