Kingston PTM Limited

Date authorised
1 April 2013
Companies House
04307577
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • 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

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · 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, Structured Deposits, 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

    For Professional, Retail (Investment)

    Show 1 limitation
    • · 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
    • · 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Advice

    Show 1 limitation
    • · 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 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
    • · 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.

  • John Leslie Albert Blakey

    IRN JLB00045

    • SMF3 Executive Director (9 Dec 2019 to 1 Oct 2021)
    • CF1 Director (11 Aug 2008 to 8 Dec 2019)
    • CF21 Investment Adviser (7 Feb 2005 to 3 Jan 2006)
  • Mandy Patricia Caunt

    IRN MXC00129

    • CF30 Customer (1 Nov 2007 to 18 Sep 2014)
    • Responsible for Insurance Mediation (14 Jan 2005 to 1 Jul 2014)
    • CF24 Pension Transfer Specialist (12 Aug 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (22 Mar 2002 to 1 Jul 2014)
    • CF1 Director (22 Mar 2002 to 18 Sep 2014)
    • CF21 Investment Adviser (22 Mar 2002 to 31 Oct 2007)
    • CF10 Compliance Oversight (22 Mar 2002 to 1 Jul 2014)
    • CF8 Apportionment and Oversight (22 Mar 2002 to 1 Nov 2007)
  • Neil Paul McKenzie Taylor

    IRN NPT01018

    • CF30 Customer (15 Aug 2011 to 11 May 2012)
  • Nicola Jane Ayriss

    IRN NXA00007

    • CF30 Customer (14 Apr 2010 to 27 Dec 2012)
  • Patricia Ann Skinner

    IRN PAS00006

    • CF24 Pension Transfer Specialist (17 Feb 2005 to 1 Jan 2006)
    • CF21 Investment Adviser (17 Feb 2005 to 1 Jan 2006)
  • Peter James Murphy

    IRN PJM00026

    • CF30 Customer (24 Aug 2011 to 20 Jul 2012)
  • Stephen Hughes

    IRN SXH00004

    • CF21 Investment Adviser (8 Feb 2005 to 30 Jun 2006)
  • Tracy Irene Harris

    IRN TIH00004

    • 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)
    • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
    • [FCA CF] Client dealing (since 2 Nov 2020)
    • CF30 Customer (9 Feb 2015 to 29 Aug 2018)
  • Victoria Melanie Jane Barringer

    IRN VMH00013

    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (2 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (5 Oct 2007 to 31 Oct 2007)
  • William Mark Tristan Freer

    IRN WMF01010

    • CF21 Investment Adviser (7 Feb 2005 to 5 Jun 2006)

Recent activity

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

No changes recorded yet.