Hammond Raggett & Company Limited

• Principal Place of Business

  7th Floor, The Lexicon

  Mount Street

  Manchester

  M2 5NT

  UNITED KINGDOM

  Phone

  +441618342222

  Web

  https://www.hammondraggett.co.uk

• Complaints Contact

  7th Floor, The Lexicon

  Mount Street

  Manchester

  M2 5NT

  UNITED KINGDOM

  Phone

  +441618342222

• 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

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  • · 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, 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 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, 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.

• Insurance Admin

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

• 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, 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.

• Alan Devey

  IRN AXD00003

  • CF21 Investment Adviser (1 Dec 2001 to 9 Nov 2004)
• Alexandra Jane Gower

  IRN AXB09842

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Oct 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Oct 2020)
  • CF30 Customer (1 Jan 2019 to 8 Dec 2019)
• Anne Blakeley

  IRN AXB02438

  • [FCA CF] Client dealing (18 Feb 2022 to 14 Aug 2023)
  • [FCA CF] Functions requiring qualifications (18 Feb 2022 to 14 Aug 2023)
• Bernard Raggett

  IRN BXR00002

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (5 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 1 Sep 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Dec 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2006)
  • CF1 Director (1 Dec 2001 to 5 Jul 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2006)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Brian Andrew McHenry

  IRN BXM00298

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 18 Feb 2022)
• Carl Martin

  IRN CXM01682

  • 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 20 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 20 Jun 2022)
• Charlene Somerset

  IRN CXS31392

  • Responsible for Insurance Distribution (since 11 Feb 2022)
  • SMF3 Executive Director (since 11 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Feb 2022)
  • SMF16 Compliance Oversight (since 11 Feb 2022)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Christine Osbourne

  IRN CXO00011

  • CF2 Non Executive Director (1 Dec 2001 to 1 Dec 2001)
• Clare Michele Osborne

  IRN CMO00017

  • CF1 Director (1 Dec 2001 to 17 Mar 2004)
• Gareth Steven Joseph Cockin

  IRN GSC01089

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)

No changes recorded yet.