KYMIN FINANCIAL SERVICES LIMITED

• Principal Place of Business

  35 Bridge Street

  Newport

  Gwent

  NP20 4BH

  UNITED KINGDOM

  Phone

  +4401633840000

  Web

  https://www.kymin.co.uk

• Complaints Contact

  35 Bridge Street

  Newport

  Gwent

  NP20 4BH

  UNITED KINGDOM

  Phone

  +4401633840000

  Web

  https://www.kymin.co.uk

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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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  • · 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 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

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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, 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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

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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.

• Kay Proudman

  IRN KXH00039

  • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2003)
• Lee John Davies

  IRN LJD01064

  • CF10 Compliance Oversight (17 May 2012 to 28 May 2013)
  • CF11 Money Laundering Reporting (13 Apr 2012 to 28 May 2013)
• Paul Bromley

  IRN PXB00027

  • CF30 Customer (13 Feb 2012 to 2 Jan 2013)
• Paul John Morgan

  IRN PJM01328

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 19 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
  • CF30 Customer (11 Sep 2012 to 8 Dec 2019)
• Phyllis Irene Lewis

  IRN PIL00001

  • CF2 Non Executive Director (1 Dec 2001 to 9 Feb 2012)
• Richard John Hill

  IRN RJH00081

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
  • CF1 Director (1 Dec 2001 to 31 Dec 2004)
• Robert Nigel Baldwin

  IRN RXB00184

  • CF30 Customer (16 Feb 2012 to 31 Jul 2012)
• Robin Stuart Hall

  IRN RSH01112

  • 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
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 19 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
  • SMF16 Compliance Oversight (since 25 Feb 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
  • CF1 Director (11 Apr 2012 to 8 Dec 2019)
• Roger Hawkins

  IRN RXH01894

  • CF30 Customer (13 Aug 2012 to 31 Dec 2013)
• Simon John Aston

  IRN SJA00037

  • 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
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
  • [FCA CF] Client dealing (since 19 Nov 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 13 Feb 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• Argoed Wealth Management Ltd

  FRN 733723 · Appointed 1 Dec 2016

• Sweetland Associates Ltd (no longer appointed)

  FRN 200347 · Appointed 15 Jun 2011 · Until 4 Jul 2011

No changes recorded yet.