M4 Financial Group Limited

Date authorised
1 April 2013
Companies House
08022241
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Unit B
    Marina Villas
    Trawler Road
    Maritime Quarter
    Swansea
    Swansea
    SA1 1FZ
    UNITED KINGDOM
    Phone
    +4401792720200
    Web
    https://m4fg.com

  • Complaints Contact

    Unit B
    Marina Villas
    Trawler Road
    Maritime Quarter
    Swansea
    Swansea
    SA1 1FZ
    UNITED KINGDOM
    Phone
    +4401792720200

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

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

  • 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
    • · 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

    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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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, 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • 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
    • · 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.

  • Alexander Lloyd Francis

    IRN AXF00420

    • 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 14 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 14 Jul 2025)
    • SMF3 Executive Director (since 5 Dec 2024)
    • CF1 Director (AR) (8 Jan 2024 to 30 Jun 2025)
    • CF30 Customer (1 Oct 2023 to 30 Jun 2025)
    • Appointed representative dealing with clients for which they require qualification (1 Oct 2023 to 14 Jul 2025)
    • [FCA CF] Client dealing (3 Apr 2023 to 28 Jun 2023)
    • [FCA CF] Functions requiring qualifications (3 Apr 2023 to 28 Jun 2023)
  • Andrew John Boyt

    IRN AJB01766

    • CF1 Director (4 Aug 2014 to 31 May 2016)
    • CF10 Compliance Oversight (30 Sep 2013 to 31 May 2016)
  • Andrew Owen

    IRN AXO00001

    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 1 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Nov 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2022)
    • CF30 Customer (1 Aug 2019 to 31 Mar 2025)
  • Anthony John Wilson

    IRN AJW00142

    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 23 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2022)
    • CF30 Customer (3 May 2013 to 31 Dec 2021)
  • Dafydd Huw Edwards

    IRN DHE01012

    • CF30 Customer (21 Feb 2013 to 31 Dec 2013)
    • CF10 Compliance Oversight (21 Feb 2013 to 16 Sep 2013)
  • David John Howard

    IRN DJH00095

    • CF30 Customer (1 Jul 2019 to 4 Aug 2020)
  • David Kenyon Bowden

    IRN DXB06779

    • CF1 Director (AR) (4 Oct 2018 to 15 Nov 2019)
  • David Raymond Gosbee

    IRN DXG00011

    • CF30 Customer (1 Aug 2018 to 14 Jul 2020)
  • Edward Hayden Robert Lee

    IRN EHL00002

    • CF30 Customer (22 Jul 2013 to 14 Jul 2020)
  • Fiona Aileen Terry

    IRN FAT01007

    • CF30 Customer (3 Jan 2013 to 30 Jul 2013)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.