LK Asset Management LLP

• Principal Place of Business

  Gladstone House

  2 Church Road

  Wavertree

  Liverpool

  Merseyside

  L15 9EG

  UNITED KINGDOM

  Phone

  +4401517351456

• Complaints Contact

  Gladstone House

  2 Church Road

  Wavertree

  Liverpool

  Merseyside

  L15 9EG

  UNITED KINGDOM

  Phone

  +4401517351456

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 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.
  • · 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 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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  • · The firm is limited to credit broking as a supplier of goods or services (other than a domestic premises supplier) carried on for the purposes of, or in connection with, the sale of goods or supply of services by the firm to a customer (who need not be the borrower under the credit agreement or the hirer under the consumer hire agreement) and, unless the firm is a not-for profit body, under which the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land.

• 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.

• David Joseph Snyder

  IRN DXS00977

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 28 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 28 Apr 2025)
• Kevin Benjamin Snyder

  IRN KBS00002

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 4 Dec 2020)
  • [FCA CF] Client dealing (since 4 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF11 Money Laundering Reporting (1 Apr 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Apr 2009 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2009 to 8 Dec 2019)
  • CF4 Partner (1 Apr 2009 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Apr 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Apr 2009 to 30 Sep 2018)
• Lorraine Heather Snyder

  IRN LHS00013

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Apr 2009 to 8 Dec 2019)

No changes recorded yet.