McArthur Smith Financial Management Ltd

• Principal Place of Business

  Suite B

  Logie Court

  Stirling University Innovation Park

  Stirling

  Stirlingshire

  FK9 4NF

  UNITED KINGDOM

  Phone

  +447826433020

  Web

  https://www.mcarthursmith.co.uk

• Complaints Contact

  Suite B

  Logie Court

  Stirling University Innovation Park

  Stirling

  Stirlingshire

  FK9 4NF

  UNITED KINGDOM

  Phone

  +447826433020

• 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), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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 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: 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 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

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  For Professional, Retail (Investment)

• 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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• David Duncan Lebeter

  IRN DDL00004

  • CF21 Investment Adviser (8 Jan 2004 to 30 Apr 2007)
• David William Strachan

  IRN DWS00020

  • CF21 Investment Adviser (5 Jan 2004 to 31 Jan 2004)
• James Ninian Reynolds

  IRN JNR00005

  • CF30 Customer (1 Nov 2007 to 6 Aug 2010)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
• Jennifer Milne

  IRN JXM00396

  • CF21 Investment Adviser (5 Jan 2004 to 5 Jan 2004)
• John Henry Crozier

  IRN JXC00142

  • CF21 Investment Adviser (5 Jan 2004 to 5 Jan 2004)
• Kevan John McArthur

  IRN KJM00034

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 21. Advising or arranging (bringing about) equity release transactions
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 8 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 8 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (5 Jan 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
  • CF1 Director (5 Jan 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (5 Jan 2004 to 1 Nov 2007)
• Mark Andrew Smith

  IRN MAS00001

  • 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] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • 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 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (5 Jan 2004 to 8 Dec 2019)
  • CF1 Director (5 Jan 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Jan 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
• Mark John Crichton

  IRN MJC00063

  • CF21 Investment Adviser (5 Jan 2004 to 5 Jan 2004)
• Phillip Steven Wade

  IRN PSW00021

  • CF30 Customer (1 Nov 2007 to 23 Dec 2011)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
• Thomas Pole Ord

  IRN TPO00001

  • CF30 Customer (1 Nov 2007 to 27 Dec 2012)
  • CF21 Investment Adviser (1 Mar 2005 to 31 Oct 2007)

No changes recorded yet.