Lawson Financial Management

• Principal Place of Business

  33 St. Austell Road

  Par

  Cornwall

  PL24 2SN

  UNITED KINGDOM

  Phone

  +447500339171

  Web

  https://www.lawson-ifa.co.uk

• Complaints Contact

  33 St. Austell Road

  Par

  Cornwall

  PL24 2SN

  UNITED KINGDOM

  Phone

  +447500339171

• 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

  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.

• Insurance Admin

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

• Stockbroking

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

• 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

  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.

• Alan Frost

  IRN AXF00005

  • CF21 Investment Adviser (19 Jun 2003 to 13 Sep 2005)
• Barrie David Dean

  IRN BDD00001

  • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2005)
• David Matthew Lawson

  IRN DML00006

  • 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] Client dealing (since 28 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] CASS oversight function (1 Jan 2020 to 28 Apr 2025)
  • [FCA CF] Benchmark submission and administration (1 Jan 2020 to 28 Apr 2025)
  • [FCA CF] Significant management (1 Jan 2020 to 28 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Graham Alec Breed

  IRN GAB00011

  • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2005)
• Matthew James Lawson

  IRN MXL21064

  • 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)
  • SMF27 Partner (since 2 Mar 2022)
  • [FCA CF] Client dealing (since 3 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 3 Dec 2021)
  • CF30 Customer (3 Oct 2019 to 8 Dec 2019)
• Michaela Jayne North

  IRN MJC00203

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 Nov 2004)
• Peter John Sharpe

  IRN PJS00144

  • CF30 Customer (23 Aug 2013 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Jul 2003 to 31 Oct 2007)
• Samantha Maria Thomsett

  IRN SML00013

  • CF21 Investment Adviser (20 Jan 2005 to 30 Mar 2005)
• Sarah Leigh Lawson

  IRN SLL00018

  • SMF27 Partner (9 Dec 2019 to 28 Apr 2025)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.