JTM FINANCIAL SERVICES LTD

• Principal Place of Business

  3 Princes Court

  Princes Road

  Ferndown

  Dorset

  BH22 9JG

  UNITED KINGDOM

  Phone

  +4401202861500

  Web

  https://jtmfinancialservices.co.uk

• Complaints Contact

  3 Princes Court

  Princes Road

  Ferndown

  Dorset

  BH22 9JG

  UNITED KINGDOM

  Phone

  +4401202861500

• 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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  • · 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.
  • · 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 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.

• 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.

• Anne Sparrowhawk

  IRN AXS00009

  • CF21 Investment Adviser (16 Dec 2005 to 1 Jun 2006)
• Christopher Michael Young

  IRN CMY00006

  • CF30 Customer (9 Sep 2009 to 20 Dec 2010)
• Clive Vernon Hammond

  IRN CVH00002

  • CF30 Customer (24 Mar 2010 to 19 Dec 2012)
• David Michael Brindley

  IRN DMB01211

  • [FCA CF] Functions requiring qualifications (16 Sep 2022 to 27 Mar 2025)
  • [FCA CF] Client dealing (16 Sep 2022 to 27 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 28 Mar 2025)
  • CF1 Director (12 Nov 2013 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Jun 2007 to 31 Oct 2007)
• Jason Carter-Jones

  IRN JXJ00006

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (18 Apr 2005 to 8 Dec 2019)
  • Responsible for Insurance Mediation (18 Apr 2005 to 30 Sep 2018)
  • CF1 Director (18 Apr 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Apr 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (18 Apr 2005 to 31 Mar 2009)
  • CF3 Chief Executive (18 Apr 2005 to 8 Dec 2019)
• John Herbert Tizard

  IRN JHT00010

  • CF30 Customer (1 Nov 2007 to 22 Jul 2015)
  • CF21 Investment Adviser (18 Apr 2005 to 31 Oct 2007)
  • CF1 Director (18 Apr 2005 to 22 Jul 2015)
• John Richard Eales

  IRN JRE01080

  • [FCA CF] Client dealing (since 3 Aug 2020)
  • CF30 Customer (3 Feb 2011 to 8 Dec 2019)
• Julie Marie Thomas

  IRN JMP00054

  • CF30 Customer (1 Nov 2007 to 15 Mar 2010)
  • CF21 Investment Adviser (27 Apr 2005 to 31 Oct 2007)
• Malcolm Roye Kerridge

  IRN MRK00002

  • CF30 Customer (1 Nov 2007 to 17 Nov 2010)
  • CF1 Director (18 Apr 2005 to 17 Nov 2010)
  • CF21 Investment Adviser (18 Apr 2005 to 31 Oct 2007)
• Mark Andrew Birtwell

  IRN MAB01349

  • CF30 Customer (24 Aug 2009 to 31 Oct 2019)

No changes recorded yet.