James Murray Associates Limited

• Principal Place of Business

  7a The Broadway

  Cheam

  Surrey

  SM3 8BH

  UNITED KINGDOM

  Phone

  +4402086423680

  Web

  https://www.jmurray.co.uk

• Complaints Contact

  James Murray Associates

  7A The Broadway

  Cheam

  Sutton

  SM3 8BH

  UNITED KINGDOM

  Phone

  +4402086423680

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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, 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, 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.

• 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.

• Brendan John Jordan

  IRN BJJ00004

  • CF21 Investment Adviser (31 Aug 2007 to 6 Sep 2007)
• David Ronald Keary

  IRN DXK00002

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • [FCA CF] Manager of certification employee (since 1 Jan 2020)
  • [FCA CF] Significant management (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 13 Sep 2019)
  • CF11 Money Laundering Reporting (13 Sep 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Sep 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (31 Aug 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (31 Aug 2007 to 31 Oct 2007)
  • CF1 Director (31 Aug 2007 to 8 Dec 2019)
• Denis Sepelev

  IRN DXS02988

  • 11. Pension transfer specialist
  • 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 1 Sep 2020)
  • [FCA CF] Client dealing (since 1 Sep 2020)
• James Ernest Murray

  IRN JEM00004

  • CF30 Customer (1 Nov 2007 to 30 Dec 2009)
  • CF8 Apportionment and Oversight (31 Aug 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (31 Aug 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (31 Aug 2007 to 30 Dec 2009)
  • CF10 Compliance Oversight (31 Aug 2007 to 30 Dec 2009)
  • CF1 Director (31 Aug 2007 to 12 Oct 2018)
  • CF24 Pension Transfer Specialist (31 Aug 2007 to 31 Oct 2007)
  • Responsible for Insurance Mediation (31 Aug 2007 to 30 Dec 2009)
• Nicholas Paul Young

  IRN NPY00001

  • 11. Pension transfer specialist
  • 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
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • SMF3 Executive Director (since 10 Feb 2023)
  • Responsible for Insurance Distribution (since 10 Feb 2023)
  • [PRA CF] Key function holder (since 15 Aug 2022)
  • [FCA CF] Manager of certification employee (since 1 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (3 Mar 2014 to 8 Dec 2019)
• Robin Paul Brokenshire

  IRN RPB01156

  • CF30 Customer (18 Nov 2017 to 6 Jun 2018)
• Silvia Borges Medeiros

  IRN SXB02386

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 15 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 15 Dec 2025)
• Timothy John Enright

  IRN TJE00001

  • [FCA CF] Significant management (1 Jan 2020 to 1 Apr 2022)
  • [FCA CF] Client dealing (1 Jan 2020 to 1 Apr 2022)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 1 Apr 2022)
  • [FCA CF] Manager of certification employee (1 Jan 2020 to 1 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Jul 2019)
  • CF10 Compliance Oversight (1 May 2008 to 3 Jul 2019)
  • CF11 Money Laundering Reporting (1 May 2008 to 3 Jul 2019)
  • CF8 Apportionment and Oversight (1 May 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 May 2008 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (31 Aug 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (31 Aug 2007 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (31 Aug 2007 to 31 Oct 2007)

No changes recorded yet.