Kelly Financial Management

• Principal Place of Business

  The Barnhay

  Ludbrook Manor

  Ivybridge

  Devon

  PL21 0LJ

  UNITED KINGDOM

  Phone

  +4401548830111

  Web

  https://www.kfms.co.uk

• Complaints Contact

  The Barnhay

  Ludbrook Manor

  Ivybridge

  Devon

  PL21 0LJ

  UNITED KINGDOM

  Phone

  +4401548830111

• 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.

• 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

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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.

• 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, 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.

• Eamonn Thomas James Kelly

  IRN ETK00003

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 31 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Oct 2005 to 30 Sep 2018)
  • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Liam Patrick Mel Kelly

  IRN LXK00155

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Jan 2025)
  • SMF27 Partner (since 24 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2022)
  • [FCA CF] Client dealing (since 16 Nov 2022)
• Ronan Eamonn Sean Kelly

  IRN RXK00327

  • 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
  • SMF16 Compliance Oversight (since 24 Jan 2025)
  • SMF27 Partner (since 24 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2022)
  • [FCA CF] Client dealing (since 16 Nov 2022)
• Siobhan Maire Nicola Kelly

  IRN SMK00022

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.