Laurence Anthony Associates

Date authorised
1 April 2013
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    100 Knutsford Road
    Alderley Edge
    Cheshire East
    SK9 7SW
    UNITED KINGDOM
    Phone
    +4407768822908
    Web
    https://www.laurenceanthony.co.uk

  • Complaints Contact

    100 Knutsford Road
    Alderley Edge
    Cheshire East
    SK9 7SW
    UNITED KINGDOM
    Phone
    +4407768822908

What this firm is allowed to do

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

  • 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

    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, 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.

  • 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.

  • Kevin Glyn Neil

    IRN KGN00007

    • 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
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (30 Jun 2017 to 8 Dec 2019)
  • Laurence Anthony Smith

    IRN LAS00020

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (3 Nov 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 12 Dec 2012)
    • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (16 Oct 2006 to 8 Dec 2019)
  • Michael Rodney Featherstone

    IRN MRF00003

    • CF30 Customer (22 Apr 2014 to 30 Apr 2018)
  • neil john lemmon

    IRN NJL01095

    • CF30 Customer (28 Nov 2011 to 7 Jan 2015)

Recent activity

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

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