Graham Carter Financial Services Limited

Date authorised
1 April 2013
Companies House
01855866
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2 City Road
    Chester
    Cheshire
    CH1 3AE
    UNITED KINGDOM
    Phone
    +4401244322722
    Web
    https://www.grahamcarter.co.uk

  • Complaints Contact

    2 City Road
    Chester
    Cheshire
    CH1 3AE
    UNITED KINGDOM
    Phone
    +4401244322722

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: 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), 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • 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.

  • David Edward Smith

    IRN DES00007

    • CF30 Customer (31 Jan 2012 to 12 Dec 2012)
  • Jean Carter

    IRN JXC00006

    • CF10 Compliance Oversight (1 Dec 2001 to 8 Jul 2005)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 8 Jul 2005)
  • Paul Raymond Roberts

    IRN PRR00007

    • CF30 Customer (4 Jan 2010 to 21 Dec 2010)
  • Roger Martin Carter

    IRN RMC00001

    • 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
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 21. Advising or arranging (bringing about) equity release transactions
    • 11. Pension transfer specialist
    • 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] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (13 Feb 2012 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Jul 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (20 Jul 2005 to 31 Mar 2009)
    • CF1 Director (20 Jul 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Jul 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • Stanley Graham Carter

    IRN SGC00001

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 8 Jul 2005)
    • CF1 Director (1 Dec 2001 to 8 Jul 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 8 Jul 2005)

Recent activity

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

No changes recorded yet.