Gemmell Financial Services Limited

Date authorised
1 April 2013
Companies House
06041545
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Gemmell Financial Services
    Unit 9
    Sandridge Park
    Porters Wood
    St. Albans
    Hertfordshire
    AL3 6PH
    UNITED KINGDOM
    Phone
    +4401727790800
    Web
    https://www.gemmells.co.uk

  • Complaints Contact

    Gemmell Financial Services
    Unit 9
    Sandridge Park
    Porters Wood
    St. Albans
    Hertfordshire
    AL3 6PH
    UNITED KINGDOM
    Phone
    +4401727790800

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • 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

    Show 2 limitations
    • · 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, Unit, Warrant

    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.

  • Authorised to Operate

    Show 1 limitation
    • · 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, Unit, Warrant

    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.

  • 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, Unit, Warrant

    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.

  • Christopher David Wise

    IRN CDW01053

    • CF30 Customer (3 Sep 2012 to 5 Apr 2017)
  • Clair Ann Gemmell

    IRN CAG01096

    • 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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (8 Jun 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (8 Jun 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (8 Jun 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (8 Jun 2007 to 30 Sep 2018)
    • CF10 Compliance Oversight (8 Jun 2007 to 8 Dec 2019)
    • CF1 Director (8 Jun 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Jun 2007 to 8 Dec 2019)
  • John Edward Finch

    IRN JEF00015

    • 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 (26 May 2017 to 8 Dec 2019)
  • John Robert Gemmell

    IRN JRG01136

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (8 Jun 2007 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.