Lubbock Fine Wealth Management LLP

• Principal Place of Business

  Paternoster House

  65 St. Paul's Churchyard

  London

  EC4M 8AB

  UNITED KINGDOM

  Phone

  +442074907766

  Web

  http://www.lfwm.co.uk

• Complaints Contact

  Paternoster House

  65 St. Paul's Churchyard

  London

  EC4M 8AB

  UNITED KINGDOM

  Phone

  +442074907766

• 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

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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.

• 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.

• Andrew Jonathan Tricker

  IRN AJT00011

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 9 Dec 2020)
  • [FCA CF] Manager of certification employee (since 6 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (18 Jul 2018 to 8 Dec 2019)
  • CF30 Customer (27 Nov 2017 to 8 Dec 2019)
• Andrew Noton

  IRN AXN21515

  • Responsible for Insurance Distribution (since 14 Jan 2020)
  • SMF27 Partner (since 23 Dec 2019)
• Danisha Chadha

  IRN DXC00258

  • CF30 Customer (10 Jan 2018 to 10 May 2018)
• Gorkem Barron

  IRN GXG01644

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2025)
  • [FCA CF] Client dealing (since 12 Mar 2025)
  • [FCA CF] Functions requiring qualifications (6 Jan 2020 to 27 Nov 2024)
  • [FCA CF] Client dealing (6 Jan 2020 to 27 Nov 2024)
• Leona Stanley

  IRN LXS01910

  • CF30 Customer (5 Dec 2017 to 2 Oct 2018)
• Mark Julian Turner

  IRN MJT01283

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (15 Oct 2015 to 8 Dec 2019)
• Martin Hinman

  IRN MXH03170

  • CF30 Customer (26 Sep 2017 to 13 Apr 2018)
  • CF11 Money Laundering Reporting (26 Sep 2017 to 13 Apr 2018)
  • CF10 Compliance Oversight (26 Sep 2017 to 13 Apr 2018)
• Neville Pereira

  IRN NXP00014

  • Responsible for Insurance Mediation (15 Oct 2015 to 1 Aug 2017)
  • CF10 Compliance Oversight (15 Oct 2015 to 1 Aug 2017)
  • CF11 Money Laundering Reporting (15 Oct 2015 to 1 Aug 2017)
  • CF30 Customer (15 Oct 2015 to 1 Aug 2017)
  • CF4 Partner (15 Oct 2015 to 1 Aug 2017)
• Nicholas Matthew Frid

  IRN NMF01020

  • CF30 Customer (15 Oct 2015 to 3 Oct 2017)
• Nicholas William Clark

  IRN NXC00459

  • 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
  • [FCA CF] Client dealing (since 27 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2024)

No changes recorded yet.