KM Financial Solutions LLP

• Principal Place of Business

  K M Financial Solutions Llp

  Burnley Wharf

  Manchester Road

  Burnley

  Lancashire

  BB11 1JG

  UNITED KINGDOM

  Phone

  +4401282426380

  Web

  https://www.kmfsllp.com

• Complaints Contact

  K M Financial Solutions Llp

  Burnley Wharf

  Manchester Road

  Burnley

  Lancashire

  BB11 1JG

  UNITED KINGDOM

  Phone

  +4401282426380

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme

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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 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

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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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · No right to canvass off trade premises

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• . KM Business Solutions Limited

  IRN XXK01044

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Apr 2011 to 8 Dec 2019)
• Andrew James Davies

  IRN AJD01343

  • CF4 Partner (1 Apr 2011 to 10 May 2019)
• Faramarz Raked

  IRN FXR00004

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (1 Apr 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2011 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2011 to 8 Dec 2019)
  • CF4 Partner (1 Apr 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Apr 2011 to 30 Sep 2018)
• Mark Robert Heaton

  IRN MRH01196

  • SMF27 Partner (9 Dec 2019 to 5 Aug 2021)
  • CF4 Partner (1 Apr 2011 to 8 Dec 2019)
• Richard John Howarth

  IRN RXH18347

  • SMF27 Partner (9 Dec 2019 to 5 Aug 2021)
  • CF4 Partner (28 Oct 2019 to 8 Dec 2019)
• Roger Stuart Rothwell

  IRN RSR01045

  • CF4 Partner (1 Apr 2011 to 30 Sep 2016)

No changes recorded yet.