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.

  • Fraser Charles Hunt

    IRN FXH16437

    • [FCA CF] Client dealing (13 Oct 2025 to 30 Jan 2026)
    • [FCA CF] Functions requiring qualifications (13 Oct 2025 to 30 Jan 2026)
  • Gareth David Richards

    IRN GDR00003

    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 1 Apr 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2022)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2025)
    • CF10 Compliance Oversight (13 Jun 2016 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (13 Jun 2016 to 31 Mar 2025)
    • CF30 Customer (14 Dec 2012 to 31 Mar 2025)
    • CF1 Director (14 Dec 2012 to 8 Dec 2019)
  • Geraint Phelps

    IRN GXP00057

    • CF30 Customer (10 Jan 2013 to 31 May 2020)
  • Henry James Lloyd Davies

    IRN HJL01039

    • CF1 Director (AR) (8 Jun 2015 to 11 Jun 2019)
  • Jonathan Simon Francis

    IRN JSF00007

    • 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 14 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 14 Jul 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 4 May 2016)
    • CF1 Director (AR) (21 Nov 2024 to 30 Jun 2025)
    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 14 Jul 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2022)
    • CF11 Money Laundering Reporting (14 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Dec 2012 to 20 Mar 2013)
    • CF1 Director (14 Dec 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Dec 2012 to 30 Sep 2018)
    • CF30 Customer (14 Dec 2012 to 30 Jun 2025)
  • Laurence Nicholas Shaun Murphy

    IRN LNM01026

    • CF30 Customer (17 Mar 2016 to 4 Jul 2016)
  • Neal Pritchard

    IRN NXP01266

    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 1 Apr 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Sep 2022)
    • CF1 Director (AR) (8 Oct 2018 to 15 Nov 2019)
    • CF30 Customer (7 Jan 2013 to 31 Mar 2025)
  • Neil Joseph Chapman

    IRN NJC01210

    • CF30 Customer (11 Mar 2016 to 1 Nov 2016)
  • Nicholas Gilbert Herbert Ayliffe

    IRN NGA00001

    • Appointed representative dealing with clients for which they require qualification (2 Sep 2022 to 9 Nov 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Sep 2022)
  • Paul Anthony Pryce

    IRN PAP00004

    • CF30 Customer (19 Aug 2013 to 1 Jul 2016)
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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.