Gerald Pepper Financial Management Limited

Date authorised
1 April 2013
Companies House
04179541
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor, Hanscombe House
    52A St Andrew Street
    Hertford
    Hertfordshire
    SG14 1JA
    UNITED KINGDOM
    Phone
    +4401992500261
    Web
    https://gpfm.co.uk

  • Complaints Contact

    2nd Floor, Hanscombe House
    52A St Andrew Street
    Hertford
    Hertfordshire
    SG14 1JA
    UNITED KINGDOM
    Phone
    +4401992500261

What this firm is allowed to do

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

  • 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 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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
    • · 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), 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
    • · 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

    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”.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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
    • · 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.

  • Rodney Brian Edwards

    IRN RBE01017

    • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
    • CF30 Customer (10 Jul 2014 to 8 Dec 2019)
  • Scott Aaron Atkinson

    IRN SAA00002

    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF1 Director (AR) (6 May 2022 to 21 Aug 2025)
    • CF30 Customer (17 Feb 2010 to 8 Dec 2019)
    • CF1 Director (17 Feb 2010 to 8 Dec 2019)
  • Scott Shadwell

    IRN SXS01923

    • CF30 Customer (5 May 2022 to 7 Jan 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 Jan 2025)
  • Sean Howlett

    IRN SXH00778

    • 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 26 Sep 2024)
    • [FCA CF] Functions requiring qualifications (since 26 Sep 2024)
  • Simon Robert Frost

    IRN SRF00002

    • 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 9 Dec 2019)
    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (21 Mar 2022 to 21 Aug 2025)
    • CF11 Money Laundering Reporting (27 Jan 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (27 Jan 2010 to 30 Sep 2018)
    • CF1 Director (27 Jan 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (27 Jan 2010 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • GPFM Online Limited (no longer appointed)

    FRN 971508 · Appointed 8 Mar 2022 · Until 19 Dec 2023

  • Chris Edwards (no longer appointed)

    FRN 516480 · Appointed 19 Jan 2010 · Until 1 Apr 2010

Recent activity

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

No changes recorded yet.