Gardner Financial Management Ltd

Date authorised
6 June 2016
Companies House
08931898
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 Floyd Grove
    Balsall Common
    Coventry
    West Midlands
    CV7 7RP
    UNITED KINGDOM
    Phone
    +441564732770
    Web
    https://www.gardnerfinancialmanagement.co.uk

  • Complaints Contact

    9 Floyd Grove
    Balsall Common
    Coventry
    West Midlands
    CV7 7RP
    UNITED KINGDOM
    Phone
    +441564732770

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Pension Transfer Advice

    For Retail (Investment), Professional, Unit, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments)

    Show 2 limitations
    • · 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 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 Retail (Investment), Professional, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Debenture

    Show 1 limitation
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts

    Show 1 limitation
    • · 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

  • Debt Advice

    Show 1 limitation
    • · 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”.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Jacqueline Ann Gardner

    IRN JAC01335

    • (17)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (18)SMF3 Executive Director (since 9 Dec 2019)
    • (7)CF1 Director (6 Jun 2016 to 8 Dec 2019)
    • (6)CF10 Compliance Oversight (6 Jun 2016 to 8 Dec 2019)
  • Lee Barry Gardner

    IRN LBG00001

    • (8)12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • (7)17. Administrative functions in relation to managing investments
    • (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (6)18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • (10)4. Giving personal recommendations on retail investment products which are not broker funds
    • (11)2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • (9)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)21. Advising or arranging (bringing about) equity release transactions
    • (15)[FCA CF] Client dealing (since 1 Jan 2021)
    • (16)[FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • (13)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (14)SMF3 Executive Director (since 9 Dec 2019)
    • (12)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (3)CF30 Customer (6 Jun 2016 to 8 Dec 2019)
    • (2)Responsible for Insurance Mediation (6 Jun 2016 to 30 Sep 2018)
    • (5)CF1 Director (6 Jun 2016 to 8 Dec 2019)
    • (4)CF11 Money Laundering Reporting (6 Jun 2016 to 8 Dec 2019)
  • Sophia Tyler

    IRN SXT00238

    • (1)[FCA CF] Functions requiring qualifications (1 Jan 2021 to 18 Jan 2023)
  • Vindell O'Nell Watson

    IRN VXW00007

    • (1)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (3)[FCA CF] Functions requiring qualifications (since 25 Jul 2024)
    • (2)[FCA CF] Client dealing (since 25 Jul 2024)

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  2. controlled function removed: 21. Advising or arranging (bringing about) equity release transactions

  3. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  4. controlled function removed: Responsible for Insurance Distribution

  5. controlled function removed: [FCA CF] Functions requiring qualifications