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

  Show 2 limitations Hide 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, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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 Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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.

• Hannah Julia Tarry

  IRN HJT01043

  • 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] Client dealing (since 18 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 18 Jan 2021)
• Howard Michael Rowley-Goodall

  IRN HMR00002

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2020)
  • CF30 Customer (1 Jun 2016 to 8 Dec 2019)
  • CF1 Director (1 Jun 2016 to 10 Jul 2018)
• John David Davenport

  IRN JDD00002

  • CF30 Customer (1 Nov 2007 to 1 Aug 2008)
  • CF24 Pension Transfer Specialist (17 Aug 2007 to 31 Oct 2007)
  • CF1 Director (17 Aug 2007 to 1 Aug 2008)
  • CF21 Investment Adviser (17 Aug 2007 to 31 Oct 2007)
• Malcolm James Pritchard

  IRN MJP00131

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2019)
  • CF30 Customer (1 Jun 2016 to 8 Dec 2019)
  • CF1 Director (1 Jun 2016 to 10 Jul 2018)
• Peter Martin Jenkins

  IRN PMJ00016

  • CF30 Customer (1 Nov 2007 to 31 May 2013)
  • CF24 Pension Transfer Specialist (7 Apr 2004 to 31 Oct 2007)
  • CF1 Director (7 Apr 2004 to 20 Dec 2012)
  • CF21 Investment Adviser (7 Apr 2004 to 31 Oct 2007)
• Richard Michael Leigh

  IRN RML01091

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 Jun 2012 to 8 Dec 2019)
• Stella Maria Collinge

  IRN SMD00045

  • 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)
  • CF30 Customer (10 Jun 2013 to 8 Dec 2019)
• Stephen Whamond

  IRN SXW01402

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Feb 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 11 Feb 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jan 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Jan 2007 to 1 Nov 2007)
  • Responsible for Insurance Mediation (1 Jan 2007 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Jan 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (6 Apr 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Apr 2004 to 31 Oct 2007)
  • CF1 Director (6 Apr 2004 to 8 Dec 2019)

No changes recorded yet.