J.M. FINN & CO.LTD

• Principal Place of Business

  25 Copthall Avenue

  London

  EC2R 7AH

  UNITED KINGDOM

  Phone

  +4402076001660

  Web

  https://www.jmfinn.com

• Complaints Contact

  25 Copthall Avenue

  London

  EC2R 7AH

  UNITED KINGDOM

  Phone

  +4402076001660

• 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

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

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  • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook.
  • · 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Simon Charles Tufnell

  IRN SCT01037

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Manager of certification employee (since 1 Jan 2021)
  • CF30 Customer (18 Aug 2009 to 8 Dec 2019)
• Simon Richard Jonathan Jessel

  IRN SRJ01022

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
• Stephen John Thornton

  IRN SJT01106

  • [FCA CF] Client dealing (1 Jan 2021 to 30 Apr 2025)
  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 30 Apr 2025)
• Stephen Paul Garforth Wright

  IRN SPW01055

  • [FCA CF] Client dealing (1 Jan 2021 to 29 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 29 Dec 2023)
• Stephen Timothy Preston Norcross

  IRN STN01006

  • CF21 Investment Adviser (30 Jun 2006 to 31 Jul 2007)
• Steven Anthony Sussman

  IRN SAS01108

  • SMF9 Chair of the Governing Body (8 Jan 2021 to 31 Dec 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 8 Jan 2021)
  • SMF3 Executive Director (9 Dec 2019 to 8 Jan 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Jan 2021)
  • Responsible for Insurance Mediation (5 Jul 2016 to 30 Sep 2018)
  • CF3 Chief Executive (26 May 2015 to 8 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 12 Dec 2014)
  • CF1 Director (30 Jun 2006 to 8 Dec 2019)
• Steven John Cornwell

  IRN SJC01217

  • [FCA CF] Client dealing (since 28 Nov 2025)
• Steven Paul Barron

  IRN SPB01079

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
• Stewart Edward Orrock

  IRN SEO01006

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
• Stewart Hamilton Harrison

  IRN SHH01036

  • [FCA CF] Client dealing (1 Jan 2021 to 20 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 20 Dec 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (4 Jul 2007 to 31 Oct 2007)

No changes recorded yet.