HEATHERTON FINANCIAL MANAGEMENT LIMITED

Date authorised
11 August 2008
Companies House
06461928
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2 Appledown Way
    Littleover
    Derby
    Derbyshire
    DE23 3YU
    UNITED KINGDOM
    Phone
    +4401332514194

  • Complaints Contact

    2 Appledown Way
    Littleover
    Derby
    Derbyshire
    DE23 3YU
    UNITED KINGDOM
    Phone
    +4401332514194

What this firm is allowed to do

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

  • P2P Lending Advice

    For Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For 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 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 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.

  • Stephen Graham Oakley

    IRN SGO00011

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (11 Aug 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Aug 2008 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (11 Aug 2008 to 31 Mar 2009)
    • CF30 Customer (11 Aug 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Aug 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Aug 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.